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2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-07 |
| CO | RA | APPROVED | 2024-01-05 |
| TX | RA | APPROVED | 2024-01-05 |
Branch Locations
9000 East Nichols Ave Suite 180, Centennial, CO 80112 • United States
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mowatt Financial Inc | Englewood | CO | 02/2012 | 10/2018 |
| Independent Financial Group | Denver | CO | 08/2014 | 07/2017 |
| First Allied Securities, Inc. | San Diego | CA | 07/2017 | 09/2022 |
| First Allied Advisory Services, Inc. | San Diego | CA | 10/2019 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 10/2019 | 11/2020 |
| Sageview Advisory Group, Llc | Newport Beach | CA | 09/2021 | 01/2024 |
| Cetera Advisors Llc | Englewood | CO | 09/2022 | 01/2024 |
| Cetera Investment Advisors | Schaumburg | IL | 11/2020 | 01/2024 |
| Bloomfield Hills | Bloomfield Hills | MI | 07/2017 | 09/2021 |
| Triad Advisors | Norcross | GA | 01/2024 | 08/2024 |
| Triad Hybrid Solutions | Norcross | GA | 01/2024 | 08/2024 |
| Osaic Wealth, Inc. | Denver | CO | 08/2024 | Present |
1) WARD FINANCIAL,LLC POSITION: owner NATURE: llc INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/07/2023 ADDRESS: 1517 E 31st Ave, Denver CO 80205, United States DESCRIPTION: Duties as needed as this is a pass through entity for my security business. 2) BLOOMFIELD HILLS ADVISORY POSITION: vice president,wealth advisor NATURE: llc and primary name that we are operating under to provide services and advice INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 01/05/2024 ADDRESS: 1950 W Littleton Blvd, Suite 111, Littleton CO 80120, United States DESCRIPTION: financial planning,trading accounts,income strategies,tax harvesting,retirement savings 3) ELWOOD INDUSTRIES LIMITED,LLC POSITION: owner NATURE: llc INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2005 ADDRESS: 1517 E 31st Ave, Denver CO 80205, United States DESCRIPTION: oversight of real estate property 4) NOSTALGIA STADIUM CARDS LLC POSITION: owner NATURE: llc INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 1517 E 31st Ave, Denver CO 80205, United States DESCRIPTION: sell sports memorabilia and collectibles on eBay 5) OCTOBER SKIES LLC POSITION: owner NATURE: llc INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2005 ADDRESS: 1517 E 31st Ave, Denver CO 80205, United States DESCRIPTION: oversight of real estate property 6) RELAX-AWAY BAY,LLC POSITION: owner NATURE: llc INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2005 ADDRESS: 1517 E 31st Ave, Denver CO 80205, United States DESCRIPTION: oversight of real estate property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-07 |
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