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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2021-10-14 |
Branch Locations
2498 Bluestone Drive Suite A, Findlay, OH 45840 • United States
655 Beaver Creek Circle, Maumee, OH 43537 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kona Ice-Findlay | Florence | KY | 09/2013 | Present |
| The Huntington Investment Company | Columbus | OH | 04/2015 | 05/2018 |
| The Huntington Investment Company | Columbus | OH | 05/2018 | 10/2021 |
| Royal Alliance Associates, Inc. | Maumee | OH | 10/2021 | 06/2023 |
| Savage Associates | Maumee | OH | 10/2021 | Present |
| Osaic Wealth, Inc. | Maumee | OH | 06/2023 | Present |
1. SAVAGE AND ASSOCIATES POSITION: Senior Supervision and Compliance Officer NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 200 START DATE: 10/25/2021 ADDRESS: 655 Beaver Creek Circle, Maumee OH 43537, United States DESCRIPTION: Provide supervision and compliance support for associated Savage financial professionals in adherence to RAA policy. 2. KONA ICE-FINDLAY NWO, INC. POSITION: VP/Secretary NATURE: Shaved ice food truck. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2013 ADDRESS: 2119 Stonecliff Dr., Findlay OH 45840, United States DESCRIPTION: This is my husband's primary employment. He owns the franchise and I am part owner. I may help him with office work but essentially, I do not perform any functions during regular office hours. 3. TRAVELIN TOM'S OF FINDLAY POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2023 ADDRESS: 2119 Stonecliff Dr, Findlay OH 45840, United States DESCRIPTION: I am a part owner of this mobile coffee truck franchise.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-01-13 |
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