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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2017-09-18
  • SC RA
    APPROVED
    Since 2017-09-18

Branch Locations

503 A West Butler Road, Greenville, SC 29607 • 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
Osaic Wealth, Inc. Greenville SC 07/2011 Present
Other Businesses

WEALTHBROOK ADVISORS POSITION: Other - agent/representative NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 1 START DATE: 03/31/2003 ADDRESS: 503 A West Butler Rd., Greenville SC 29607, United States DESCRIPTION: I offer fixed insurance products that include ;term insurrance, universal life, long term care, whole life and other fixed products.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-11
S63 Uniform Securities Agent State Law Examination 1996-11-05
  • S65 Uniform Investment Adviser Law Examination
    2017-09-11
  • S63 Uniform Securities Agent State Law Examination
    1996-11-05

View on SEC IAPD

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