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7333 East Doubletree Ranch Rd, Suite 120, Scottsdale, AZ 85258 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-01-21 |
| CA | RA | APPROVED | 2026-01-20 |
Branch Locations
7333 E Doubletree Ranch Rd Ste 120, Scottsdale, AZ 85258 • United States
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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | San Diego | CA | 08/2010 | 03/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 03/2020 |
| Securities America, Inc. | Chula Vista | CA | 03/2020 | 06/2024 |
| Arbor Point Advisors | Chula Vista | CA | 03/2020 | 06/2024 |
| Osaic Wealth, Inc. | Chula Vista | CA | 06/2024 | 01/2026 |
| Osaic Advisory Services, Llc | Atlanta | GA | 11/2024 | 01/2026 |
| United Planners Financial Services | Scottsdale | AZ | 01/2026 | Present |
1.) GUGGER INVESTMENTS LLC - MANAGING PARTNER - ENTITY FOR TAX PURPOSES - CHULA VISTA, CA - SINCE 04/2020 - NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-07-10 |
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