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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-08 |
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