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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-09-01 |
| MO | RA | APPROVED | 2023-09-01 |
Branch Locations
15 Sunnen Drive Suite 100, St. Louis, MO 63143 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Uhy Advisors | St. Louis | MO | 08/2001 | Present |
| Lpl Financial, Llc | St. Louis | MO | 07/2013 | 05/2023 |
| Sagepoint Financial, Inc. | St Louis | MO | 05/2023 | 09/2023 |
| Osaic Wealth, Inc. | St. Louis | MO | 09/2023 | Present |
1) ROBIN NELSON POSITION: Insurance Agent NATURE: Insurance Agency. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 02/01/2019 ADDRESS: 15 Sunnen Drive, Suite 100A, St. Louis MO 63143, United States DESCRIPTION: Insurance Agent. 2) UHY WEALTH DBA POSITION: Wealth Manager NATURE: Doing business as ("DBA") name. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/18/2023 ADDRESS: 15 Sunnen Drive, Suite 100A, St. Louis MO 63143, United States DESCRIPTION: Doing business as ("DBA") name. 3) UHY ADVISORS POSITION: Administrative NATURE: Corporation. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2001 ADDRESS: 15 Sunnen Drive, Suite 100, St Louis MO 63143, United States DESCRIPTION: Provide administrative assistance to tax clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-02 |
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