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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-19 |
| HI | RA | APPROVED | 2024-01-19 |
Branch Locations
2501 Capitol Ave Ste 105, Sacramento, CA 95816 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Berthel Fisher & Company Financial Services, Inc | Sacramento | CA | 07/2009 | 05/2020 |
| Bfc Planning, Inc. | Sacramento | CA | 01/2017 | 05/2020 |
| Woodbury Financial Services Inc | Sacramento | CA | 05/2020 | 01/2024 |
| Osaic Wealth, Inc. | Sacramento | CA | 01/2024 | Present |
1. LIFE AND LTC INSURANCE POSITION: Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 2501 Captiol Ave. Ste 105, Sacramento CA 95816, United States DESCRIPTION: Illustrations and policy creation for clients. 2. KEN WONG REAL ESTATE POSITION: Son NATURE: Sole Proprietorship - real estate holdings of my dad. Approximately 10 rental units throughout Sacramento. One commercial property. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 748 El Macero Way, Sacamento CA 95831, United States DESCRIPTION: I'm the line of communication between my 80 year old dad and his tenants. 3. DBA: DIVERSITY WITHIN FINANCE POSITION: Owner NATURE: Sole Proprietorship - DBA for the business INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: 2501 Captiol Ave. Ste 105, Sacramento CA 95816, United States DESCRIPTION: It's the DBA for my business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-10 |
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