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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-09-09
TX RA APPROVED_RES 2023-08-17
WA RA APPROVED 2020-11-03
  • FL RA
    APPROVED
    Since 2024-09-09
  • TX RA
    APPROVED_RES
    Since 2023-08-17
  • WA RA
    APPROVED
    Since 2020-11-03

Branch Locations

Kirkland, WA • United States

720 Sixth Street South Suite 100, Kirkland, WA 98033 • United States

Kirkland, WA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hornor Townsend & Kent Inc Bellevue WA 10/2001 10/2020
Penn Mutual Life Ins Co Bellevue WA 03/2001 10/2020
Pacific Capital Bellevue WA 03/2001 Present
Osaic Wealth, Inc. Bellevue WA 10/2020 Present
  • 10/2001 → 10/2020
    Hornor Townsend & Kent Inc
    Bellevue, WA
  • 03/2001 → 10/2020
    Penn Mutual Life Ins Co
    Bellevue, WA
  • 03/2001 → Present
    Pacific Capital
    Bellevue, WA
  • 10/2020 → Present
    Bellevue, WA
Previous Registrations
  • 2001-12-10 → 2020-11-02
    Bellevue, WA
    Bellevue, WA
    Bellevue, WA
    Bellevue, WA
  • 2007-06-13 → 2016-03-25
    Advisory Resource Group, Llc
    Bellevue, WA
Other Businesses

1) PACIFIC CAPITAL RESOURCE GROUP POSITION: Insurance Agent NATURE: Insurance brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 06/16/2013 ADDRESS: 10900 NE 4th Street, Suite 2413, Bellevue WA 98004, United States DESCRIPTION: Life, Disability, LTC, and health insurance sales 2) NATIONAL FOOTBALL LEAGUE POSITION: Play clock operator NATURE: Play clock operator of NFL games INVESTMENT RELATED: No NUMBER OF HOURS: 14 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2007 ADDRESS: 345 Park Avenue, New York NY 10154, United States DESCRIPTION: Play clock operator of NFL games 3) F-SQUARED POSITION: Partner NATURE: Partnership INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 11/13/2017 ADDRESS: 10900 NE 4th Street, Suite 2413, Bellevue WA 98004, United States DESCRIPTION: Insurance sales and service for multiple carriers, including Ameritas, Illinois Mutual, John Hancock, Lincoln, Mutual of Omaha, Penn Mutual, Principal, Pruco Life, Reliance Standard, Standard, Security Mutual, State Life, Symetra, Transamerica 4) RYAN FLEMING POSITION: Property Owner NATURE: Rental property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2025 ADDRESS: 426 East Redondo Avenue, Salt Lake City UT 84115, United States DESCRIPTION: Nothing of note. I have a property management agency handling the rental

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-29
  • S66 Uniform Combined State Law Examination
    2001-05-29
Designations

View on SEC IAPD

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