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Current Employers
Osaic Advisory Services, Llc

2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2024-10-12
MI RA APPROVED 2024-10-12
TX RA APPROVED 2024-10-12
  • AR RA
    APPROVED
    Since 2024-10-12
  • MI RA
    APPROVED
    Since 2024-10-12
  • TX RA
    APPROVED
    Since 2024-10-12

Branch Locations

4550 Post Oak Place Ste 228, Houston, TX 77027 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
American Portfolios Financial Services, Inc Houston TX 09/2003 10/2024
Osaic Wealth, Inc. Scottsdale AZ 10/2024 Present
Osaic Wealth, Inc. Scottsdale AZ 10/2024 Present
Osaic Advisory Services Atlanta GA 10/2024 Present
  • 09/2003 → 10/2024
    American Portfolios Financial Services, Inc
    Houston, TX
  • 10/2024 → Present
    Osaic Wealth, Inc.
    Scottsdale, AZ
  • 10/2024 → Present
    Osaic Wealth, Inc.
    Scottsdale, AZ
  • 10/2024 → Present
    Osaic Advisory Services
    Atlanta, GA
Previous Registrations
Other Businesses

1. CENTRAL TEXAS ARTISANS (FORMERLY EOTD ART CENTER) POSITION: Board member NATURE: This is a 501c3 community art charity INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2024 ADDRESS: 405 Valley View West Rd,, San Marcos TX 78666, United States DESCRIPTION: Help oversee the generation of donations and disbursements in achieving Central Texas Artisan's mission 2. POWER OF ATTORNEY - POA POSITION: Power of Attorney (POA) NATURE: Appointed as Power of Attorney (POA) for my sister, Susan Dobbins, in the event of her incapacity to handle her financial affairs. She is not a client INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/06/2026 ADDRESS: 900 Alpine Trl, San Marcos TX 78666, United States DESCRIPTION: Facilitate the management of her financial affairs in the event she becomes incapacitated in the future

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-20
  • S66 Uniform Combined State Law Examination
    2001-07-20

View on SEC IAPD

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