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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2026-04-07 |
| CA | RA | APPROVED | 2023-09-01 |
Branch Locations
Louisville, KY • United States
770 Paseo Camarillo Suite 130, Camarillo, CA 93010 • 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 |
|---|---|---|---|---|
| Sunamerica Securities, Inc. | Camarillo | CA | 04/1998 | Present |
| Sagepoint Financial, Inc. | Phoenix | AZ | 01/2009 | 09/2023 |
| Osaic Wealth, Inc. | Camarillo | CA | 09/2023 | Present |
1) INDEPENDENT CAPITAL MANAGEMENT; INVESTMENT RELATED; 770 PASEO CAMARILLO DR STE 130 CAMARILLO CA 93010; STATUTORY AGENT; 1998; 40 HRS/MTH; 2 HRS DURING TRADING; SALE OF LIFE, HEALTH, DISABILITY INSURANCE. 2) CITADEL LAW OFFICE; NON-INVESTMENT RELATED; 770 PASEO CAMARILL DR STE 130 CAMARILLO CA 93010; AGENT; 1998; 3 HRS/MTH; 3 HRS DURING TRADING; GATHER TRUST RELATED MAATERIAL AND DOCUMENTS FOR REFERRAL TO CITADEL TO PREPARE LIVING TRUSTS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-29 |
| S65 | Uniform Investment Adviser Law Examination | 2000-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-25 |
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