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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-01 |
| NY | RA | APPROVED | 2023-09-01 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc | Lancaster | NY | 01/2009 | Present |
| Osaic Wealth, Inc. | Lancaster | NY | 09/2023 | Present |
1) THOMAS A CARLSEN POSITION: Statutory Agent - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/05/2005 ADDRESS: 5580 Broadway, Lancaster NY 14086, United States DESCRIPTION: Insurance review when appropriate 2) LANCASTER FOOTBALL ALUMNI BOOSTER CLUB POSITION: President NATURE: NA INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/20/2022 ADDRESS: 1 Forton Drive, Lancaster NY 14086, United States DESCRIPTION: Improve football team experience 3) NOTARY PUBLIC STATE OF NEW YORK POSITION: Notary Public NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/04/2005 ADDRESS: 5580 Broadway, Lancaster NY 14086, United States DESCRIPTION: I am a Notary Public in Erie County, State of New York for the rare occasion that a client or prospective client needs a document notarized.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-24 |
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