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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2021-08-18
CO RA APPROVED 2018-11-02
MA RA APPROVED 2018-11-02
  • NJ RA
    APPROVED
    Since 2021-08-18
  • CO RA
    APPROVED
    Since 2018-11-02
  • MA RA
    APPROVED
    Since 2018-11-02

Branch Locations

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • 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
Boston Partners Financial Group Andover MA 10/2002 11/2018
Royal Alliance Associates, Inc. Concord NH 11/2018 08/2021
Royal Alliance Jersey City NJ 08/2021 Present
  • 10/2002 → 11/2018
    Boston Partners Financial Group
    Andover, MA
  • 11/2018 → 08/2021
    Royal Alliance Associates, Inc.
    Concord, NH
  • 08/2021 → Present
    Royal Alliance
    Jersey City, NJ
Previous Registrations
  • 2016-05-26 → 2018-11-02
    Signator Investors, Inc.
    Dover, NH
    Andover, MA
    Concord, NH
    Andover, MA
Other Businesses

1) NOTARY PUBLIC POSITION: Notary Public NATURE: Individual INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/11/2013 ADDRESS: 24 Ruby Road, Dracut MA 01826, United States DESCRIPTION: Notary Public

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-20
S66 Uniform Combined State Law Examination 2000-06-12
  • S65 Uniform Investment Adviser Law Examination
    2016-05-20
  • S66 Uniform Combined State Law Examination
    2000-06-12
Other Names
  • Sarah Margaret Witts
  • Sarah Simes Witts

View on SEC IAPD

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