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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-11-02
  • CA RA
    APPROVED
    Since 2018-11-02

Branch Locations

Orlando, FL • United States

Huntington Beach, CA • 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
Jhfn Sii Nashville TN 10/2011 11/2018
Osaic Wealth, Inc. Anaheim CA 11/2018 Present
Genxfinancial Orlando FL 01/2019 Present
  • 10/2011 → 11/2018
    Jhfn Sii
    Nashville, TN
  • 11/2018 → Present
    Anaheim, CA
  • 01/2019 → Present
    Genxfinancial
    Orlando, FL
Previous Registrations
  • 2014-01-27 → 2018-11-02
    Signator Investors, Inc.
    Anaheim, CA
    Nashville, TN
  • 2000-02-15 → 2007-05-16
    Signator Investors, Inc.
    Anaheim, CA
    Anaheim, CA
Other Businesses

1. COTTONWOOD CHURCH POSITION: Operations NATURE: This is a church INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 08/05/2015 ADDRESS: 4505 Katella Ave, Los Alamitos CA 92647, United States DESCRIPTION: Oversee the Accounts Payable and Account Receivable team for the church. 2. GENXFINANCIAL POSITION: Registered Assistant NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2019 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: This entity facilitates payroll and is not held out to the public. 3. INNOVATIVE FINANCIAL GROUP POSITION: Director of Field Supervision NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/11/2018 ADDRESS: 2908 Poston Ave Suite 1, Nashville TN 37203, United States DESCRIPTION: This is a DBA for our OSJ 4. SELL MY FINANCIAL PRACTICE POSITION: Supervision NATURE: This is to disclose succession planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2021 ADDRESS: 12575 Faraday Ln, Orlando FL 32827, United States DESCRIPTION: Discuss with FA the importance of succession planning

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-01-24
S65 Uniform Investment Adviser Law Examination 2013-11-21
  • S63 Uniform Securities Agent State Law Examination
    2014-01-24
  • S65 Uniform Investment Adviser Law Examination
    2013-11-21
Other Names
  • Kristen L Smith
  • Kristen Leigh Smith

View on SEC IAPD

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