John Joseph Frye

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
NM	RA	APPROVED	2018-11-02

NM RA
APPROVED

Since 2018-11-02

Branch Locations

Las Cruces, NM • 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

Organization	City	State	From	To
M Beatrice Frye Estate	Waterford	MI	01/1996	08/2018
John J & Karen F Frye Living Trust Uad	Sparks	NV	05/2001	Present
Independent Insurance Agent	West Monroe	LA	11/2006	Present
Signator Investors, Inc.	Lafayette	CA	05/2016	11/2018
Osaic Wealth, Inc.	Las Cruces	NM	11/2018	Present

01/1996 → 08/2018

M Beatrice Frye Estate

Waterford, MI
05/2001 → Present

John J & Karen F Frye Living Trust Uad

Sparks, NV
11/2006 → Present

Independent Insurance Agent

West Monroe, LA
05/2016 → 11/2018

Signator Investors, Inc.

Lafayette, CA
11/2018 → Present

Osaic Wealth, Inc.

Las Cruces, NM

Previous Registrations

2016-05-13 → 2018-11-02

Signator Investors, Inc.

Panama City Beach, FL

Las Cruces, NM

Boston, MA

Lafayette, CA
2007-01-25 → 2016-05-13

Transamerica Financial Advisors, Llc

Reno, NV

St. Petersburg, FL

West Monroe, LA

St. Petersburg, FL

St. Petersburg, FL

St. Petersburg, FL

Panama City Beach, FL
2005-11-03 → 2007-01-22

Waddell & Reed

Reno, NV
2003-03-06 → 2005-10-07

Uvest Financial Services Group, Inc.

Reno, NV
2001-10-04 → 2003-02-24

Ameriprise Financial Services, Llc

Reno, NV

Other Businesses

1. JOHN J. FRYE POSITION: Sales Rep NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/1996 ADDRESS: 770 Hayride Rd, Las Cruces NM 88007, United States DESCRIPTION: Sell Life Insurance and Fixed Annuities 2. JOHN J. & KAREN F. FRYE TRUST POSITION: C0-Trustee NATURE: This is my Wife's and my Personal Trust. It is registered in our Social Security number INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2001 ADDRESS: 770 Hayride Rd, Las Cruces NM 88007, United States DESCRIPTION: Typical Trust Activities. Operate checking, savings account, Buy/sell investments, properties etc. 3. JOHN J. FRYE POSITION: Author NATURE: Sole Proprietor INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/02/2012 ADDRESS: 770 Hayride Rd, Las Cruces NM 88007, United States DESCRIPTION: I am in the process of writing a book describing my experiences care-giving my Mother-in-Law while she suffered with dimentia

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-07-31
S63	Uniform Securities Agent State Law Examination	1997-05-14

S65 Uniform Investment Adviser Law Examination

2001-07-31
S63 Uniform Securities Agent State Law Examination

1997-05-14

Other Names

John J Frye

View on SEC IAPD