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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-06-03
FL RA APPROVED 2024-01-19
MD RA APPROVED 2024-01-19
  • TX RA
    APPROVED
    Since 2024-06-03
  • FL RA
    APPROVED
    Since 2024-01-19
  • MD RA
    APPROVED
    Since 2024-01-19

Branch Locations

Venice, FL • United States

201 Thomas Johnson Dr Suite 208, Frederick, MD 21702 • United States

1413 Pennsylvania Ave., Hagerstown, MD 21742 • 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
Questar Capital Corporation Minneapolis MN 07/2015 03/2019
Questar Asset Mangement Minneapolis MN 07/2015 03/2019
Woodbury Financial Services, Inc. Frederick MD 03/2019 01/2024
Osaic Wealth, Inc. Venice FL 01/2024 Present
  • 07/2015 → 03/2019
    Questar Capital Corporation
    Minneapolis, MN
  • 07/2015 → 03/2019
    Questar Asset Mangement
    Minneapolis, MN
  • 03/2019 → 01/2024
    Woodbury Financial Services, Inc.
    Frederick, MD
  • 01/2024 → Present
    Venice, FL
Previous Registrations
  • 2019-03-01 → 2024-01-19
    Woodbury Financial Services, Inc.
    Frederick, MD
    Hagerstown, MD
    Venice, FL
  • 2015-07-13 → 2019-03-01
    Questar Asset Management, Inc.
    Fredrick, MD
    Minneapolis, MN
  • 2008-11-04 → 2015-07-17
    Osaic Fa, Inc.
    Frederick, MD
  • 2006-07-21 → 2008-10-31
    Bethesda, MD
    Frederick, MD
    Bethesda, MD
  • 2004-11-19 → 2006-06-19
    The House Of Securities Company
    Frederick, MD
Other Businesses

1) Osaic POSITION: Investment advisor representative. NATURE: Advisory. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/19/2024 ADDRESS: 1413 Pennsylvania Ave, Hagerstown, MD 21742 DESCRIPTION: Investment advisory services. 2) COMPREHENSIVE FINANCIAL PLANNING GROUP, LLC POSITION: Financial Planner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/13/2015 ADDRESS: 1413 Pennsylvania Ave, Hagerstown, MD 21742, United States DESCRIPTION: Sell Life Insurance, Fixed Annuities, Long Term Care Insurance and Disability Insurance 3) B.T. MAX HOLDINGS, LLC POSITION: Purpose of this OBA is to disclose my LLC NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/05/2021 ADDRESS: 1413 Pennsylvania Ave., Hagerstown MD 21742, United States DESCRIPTION: The LLC owns a property 1413 PA Ave, Hagerstown MD 21742. The LLC is registered as my home address 105 Gabriel Court Smithsburg, MD 21783

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-18
S63 Uniform Securities Agent State Law Examination 1996-12-23
  • S65 Uniform Investment Adviser Law Examination
    2004-11-18
  • S63 Uniform Securities Agent State Law Examination
    1996-12-23
Designations

View on SEC IAPD

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