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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-14 |
| NY | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED_RES | 2024-06-14 |
Branch Locations
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 |
|---|---|---|---|---|
| Securities America, Inc | Amherst | NY | 09/2007 | 06/2024 |
| Securities Amercia Advisors | Amherst | NY | 09/2007 | Present |
| L&M Financial Services | Amherst | NY | 07/1998 | Present |
| Osaic Wealth, Inc. | Amherst | NY | 06/2024 | Present |
| Osaic Wealth, Inc. | Amherst | NY | 06/2024 | Present |
DBA - L&M Wealth Management L&M GROUP POSITION: agent NATURE: L&M FINANCIAL SERVICES/ L&M GROUP --INSURANCE SALES/LTC - AGENT - START DATE: - LOCATED AT 3820 SHERIDAN DR AMHERST NY 1422 ADDRESS: 3820 Sheridan Dr., Amherst NY 14226 DESCRIPTION: Insurance sales PGA REACH WESTERN NEW YORK POSITION: Trustee/Advisor NATURE: Board of Trustees of the PGA Reach of Western New York INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2021 ADDRESS: 711 Smith Rd, East Amherst NY 14051 DESCRIPTION: Help Guide policy for this charitable organization.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-29 |
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