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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2024-06-24
RI RA APPROVED 2018-11-02
  • MA RA
    APPROVED
    Since 2024-06-24
  • RI RA
    APPROVED
    Since 2018-11-02

Branch Locations

North Kingstown, RI • United States

935 Jefferson Boulevard Suite 2000, Warwick, RI 02886 • 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
Bishop Hendricken High School Warwick RI 08/1994 Present
John Hancock Mutual Life Insurance Co. Warwick RI 05/1997 11/2018
Signator Investors, Inc. Warwick RI 05/1997 11/2018
Royal Alliance Associates, Inc. Warwick RI 11/2018 Present
  • 08/1994 → Present
    Bishop Hendricken High School
    Warwick, RI
  • 05/1997 → 11/2018
    John Hancock Mutual Life Insurance Co.
    Warwick, RI
  • 05/1997 → 11/2018
    Signator Investors, Inc.
    Warwick, RI
  • 11/2018 → Present
    Royal Alliance Associates, Inc.
    Warwick, RI
Previous Registrations
  • 2001-01-01 → 2018-11-02
    Signator Investors, Inc.
    Warwick, RI
    Warwick, RI
Other Businesses

1. VOLLEYBALL COACH AT BISHOP HENDRICKEN HIGH SCHOOL. THIS IS A NON-INVESTMENT RELATED BUSINESS. THE ADDRESS IS 2615 WARWICK AVE WARWICK, RI 02889. I BEGAN COACHING IN THE FALL OF 1993. THE POSITION REQUIRES APPROXIMATELY 80 HOURS PER MONTH DURING THE THREE MONTH SEASON. THE MAJORITY(90%)OF THESE HOURS ARE AFTER SECURITIES TRADING HOURS. MY DUTIES CONSIST OF HOLDING TRYOUTS, PLANNING DAILY PRACTICES, MOTIVATING THE TEAM MEMBERS AND OVERALL SUPERVISION OF THE PLAYERS DURING PRACTICES AND GAMES.... 2. INSURANCE BROKER FOR HEALTH WITH BCBS OF RI AT 444 WESTMINSTER STREET PROVIDENCE, RI 02903-3279 NATURE OF ACTIVITY: GROUP HEALTH INSURANCE. POSITION/TITLE: BROKER START DATE MARCH 2001 APPROXIMATE HOURS PER MONTH= 1 PER MONTH DURING REGULAR SECURITIES HOURS= 0 PER MONTH... 3. Coach & Director: South County Junior Volleyball Club 75 Eastwick Rd North Kingstown, RI 02852, 10/1/2015, 30 hrs mo, 0 trading. 4. INSURANCE SALES POSITION: agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2001 ADDRESS: 935 Jefferson Blvd, Suite 2000, Warwick RI 02886, United States DESCRIPTION: provide quotes and applications for group health insurance 5. INDEPENDENCE FINANCIAL PARTNERS POSITION: Investment Representative NATURE: A partnership used as a marketing name for activities associated with my Osiac OSJ INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 04/01/1997 ADDRESS: 935 Jefferson Blvd, 2000, Warwick RI 02886, United States DESCRIPTION: Investment Rep

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-11
S63 Uniform Securities Agent State Law Examination 1997-12-15
  • S65 Uniform Investment Adviser Law Examination
    1999-01-11
  • S63 Uniform Securities Agent State Law Examination
    1997-12-15
Other Names
  • Michael J Harrington

View on SEC IAPD

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