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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2021-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc | New York | NY | 07/2002 | 08/2023 |
| Dice, Thomas Joel | Mitchell | SD | 12/2002 | 12/2019 |
| Dice Financial Investment Advisory, Llc | Mitchell | SD | 12/2019 | 12/2021 |
| Osaic Wealth, Inc | New York | NY | 08/2023 | Present |
1. DICE BENEFITS CONSULTING LLC., NOT INVESTMENT RELATED, 1716 N SANBORN BLVD., MITCHELL, SD, 57301. 10 HRS/MTH, 6 HRS/DST. PROVIDES CONSULTING SERVICES TO EMPLOYERS WITH 50 OR MORE EMPLOYEES FOR EMPLOYEE HEALTH INSURANCE PROGRAMS AND EMPLOYEE WELLNESS PROGRAMS FOR A FEE. 2. DICE FINANCIAL SERVICES GROUP, INC., INVESTMENT RELATED, 1716 N SANBORN BLVD., MITCHELL, SD, 57301. OWNER, SINCE 2002, 80 HRS/MTH, 80 HRS/DST. SALES AND SERVICE OF TERM LIFE INSURANCE, FIXED ANNUITIES, VARIABLE ANNUITIES, VARIABLE LIFE, VARIABLE UNIVERSAL LIFE, UNIVERSAL LIFE INSURANCE, INDIVIDUAL HEALTH INSURANCE, GROUP HEALTH INSURANCE, LONG TERM CARE, EMPLOYER BENEFIT PROGRAMS, MANAGING GENERAL AGENT, AND OTHER INSURANCE PRODUCTS. 3. DICE FINANCIAL SERVICES GROUP INC POSITION: Other - stockholder of dice financial services group NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2011 ADDRESS: 1716 N Sanborn Blvd, PO Box 790, Mitchell SD 57301, United States DESCRIPTION: Advisor is 15% stockholder of the corp of DFSG Inc. 4. ABBOTT HOUSE FOUNDATION BOARD POSITION: Board Member NATURE: Non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2019 ADDRESS: 909 Court Merrill Street, Mitchell SD 57301, United States DESCRIPTION: board member. 5. Dakota Wesleyan University Board of Trustees POSITION: Board Member NATURE: Non-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2014 ADDRESS: Mitchell SD DESCRIPTION: board member. 6. UNIVERSITY OF SOUTH DAKOTA FOUNDATION POSITION: foundation trustee NATURE: 501(c)(3) nonprofit corporation INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2017 ADDRESS: 1110 N DAKOTA ST, VERMILLION SD 57069, United States DESCRIPTION: Donate annually, non-fiduciary group of approximately 230 friends and alumni of University of South Dakota. Annual meeting during homecoming week at the university. 7. DT BUILDERS LLC POSITION: Partner - NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/30/2010 ADDRESS: 1716 N Sanborn Blvd, PO Box 790, Mitchell SD 57301, United States DESCRIPTION: Advisor is a 37.5% minority partner in DT Builder's LLC which is a SD entity created in December 2010. This LLC was established for the purpose of constructing and operating an office building at 1716 North Sanborn, Mitchell SD. The building converted to a condominium and DT Builders LLC owns Unit A and sold the remainder of the building as Unit B. 8. MITCHELL AREA UNITED WAY POSITION: Board Member NATURE: Non-profit board INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/02/2023 ADDRESS: 413 N Main Street Ste 103, Mitchell SD 57301, United States DESCRIPTION: board member for local United Way 9. AVERA HEALTH BOARD POSITION: board member NATURE: Non-profit hospital board INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 07/23/2024 ADDRESS: 3900 W Avera Drive, Sioux Falls SD 57108, United States DESCRIPTION: Board Member for Hospital Board 10. MITCHELL AREA DEVELOPMENT CORPORATION POSITION: board member NATURE: non-profit board INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2025 ADDRESS: 601 N Main Street, Mitchell SD 57301, United States DESCRIPTION: board member for Mitchell Area Development Corporation
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-05-25 |
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