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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2024-01-19
  • KY RA
    APPROVED
    Since 2024-01-19

Branch Locations

121 N Main Street Suite 102, Monticello, KY 42633 • United States

2201 Lexington Ave A16, Ashland, KY 41101 • United States

1527 Carter Avenue, Ashland, KY 41101 • 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
Metlife Securities Inc Ashland KY 08/2011 03/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 11/2018
Mml Investors Services, Llc Ashland KY 03/2017 11/2018
Woodbury Financial Services Inc Ashland KY 11/2018 01/2024
Osaic Wealth, Inc. Ashland KY 01/2024 Present
  • 08/2011 → 03/2017
    Metlife Securities Inc
    Ashland, KY
  • 07/2016 → 11/2018
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 11/2018
    Ashland, KY
  • 11/2018 → 01/2024
    Woodbury Financial Services Inc
    Ashland, KY
  • 01/2024 → Present
    Ashland, KY
Previous Registrations
  • 2018-11-02 → 2024-01-19
    Woodbury Financial Services, Inc.
    Ashland, KY
    Ashland, KY
  • 2017-03-25 → 2018-11-07
    Ashland, KY
    Ashland, KY
  • 2011-12-09 → 2017-03-25
    Msi Financial Services, Inc.
    Greenup, KY
    Ashland, KY
    Ashland, KY
    Ashland, KY
    Ashland, KY
Other Businesses

1. KINGS DAUGHTERS MEDICAL CENTER VOLUNTEER POSITION: Board Member - Treasurer NATURE: Non-Profit Hospital system. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/12/2020 ADDRESS: 2201 Lexington Avenue, Ashland KY 41101, United States DESCRIPTION: Spreadsheet sales and vendor payments made by the Hospital Gift Shop. Simply a recordkeeper - no money handling or direct responsibility for Gift Shop activities. Provide written summary monthly to the Volunteer Board. 2. FINANCIAL PARTNERS GROUP, LLC POSITION: Member - Partner NATURE: This is an LLC/Partnership established for use as a d/b/a under which we operate our securities office. INVESTMENT RELATED: Yes NUMBER OF HOURS: 176 SECURITIES TRADING HOURS: 154 START DATE: 04/04/2017 ADDRESS: 1527 Carter Avenue, Ashland KY 41101, United States DESCRIPTION: Partner in the LLC - administrative support and office management for our securities office. Use of this d/b/ahas been approved by Woodbury.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-11-21
S63 Uniform Securities Agent State Law Examination 2001-09-08
  • S65 Uniform Investment Adviser Law Examination
    2011-11-21
  • S63 Uniform Securities Agent State Law Examination
    2001-09-08
Other Names
  • No Other Name

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