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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2024-06-14 |
Branch Locations
10 Plaza Drive Ste. 1-A, Scarborough, ME 04074 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Whiting Financial Services | Windham | ME | 01/1998 | Present |
| Signator Investors, Inc. | Scarborough | ME | 05/2016 | 07/2017 |
| Securities America Inc. | Scarborough | ME | 07/2017 | 06/2024 |
| Securities America Advisors | Scarborough | ME | 07/2017 | 06/2024 |
| Osaic Wealth, Inc. | Scarborough | ME | 06/2024 | Present |
| Osaic Wealth, Inc. | Scarborough | ME | 06/2024 | Present |
1. Innova Financial Services - DBA Position: Financial Advisor Nature: Insurance Sales Investment Related: Yes - Start Date: 12/04/2002 Address: 10 Plaza Drive Suite 1A, Scarborough ME 04074 Description: I will be advising clients who have the need to acquire various insurance products 2. WHITING FINANCIAL SERVICES POSITION: Owner NATURE: CPA, tax and accounting services INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 02/01/1998 ADDRESS: 10 Plaza Drive Suite 1A, Scarborough ME 04074 DESCRIPTION: Tax planning and preparation for individuals and small businesses
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-08-31 |
| S65 | Uniform Investment Adviser Law Examination | 2005-03-21 |
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