James John Horst

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2023-11-03
MN	RA	APPROVED	2023-11-03
NE	RA	APPROVED	2023-11-03
NV	RA	APPROVED	2023-11-03
SD	RA	APPROVED	2023-11-03
TX	RA	APPROVED	2023-11-03

IA RA
APPROVED

Since 2023-11-03
MN RA
APPROVED

Since 2023-11-03
NE RA
APPROVED

Since 2023-11-03
NV RA
APPROVED

Since 2023-11-03
SD RA
APPROVED

Since 2023-11-03
TX RA
APPROVED

Since 2023-11-03

Branch Locations

Spencer, IA • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fsc Securities Corportion	Spencer	IA	12/2003	11/2023
Osaic Wealth, Inc.	Spencer	IA	11/2023	Present

12/2003 → 11/2023

Fsc Securities Corportion

Spencer, IA
11/2023 → Present

Osaic Wealth, Inc.

Spencer, IA

Previous Registrations

2003-10-29 → 2023-11-03

Fsc Securities Corporation

Spencer, IA
2000-12-14 → 2003-11-03

Equitable Advisors, Llc

Spencer, IA

Other Businesses

STONEBRIDGE FINANCIAL ADVISORS POSITION: Owner - NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 7 START DATE: 10/01/2003 ADDRESS: 1602 Country Club Ln, Spencer IA 51301, United States DESCRIPTION: This is the DBA through Osaic Wealth Inc.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-02-17
S63	Uniform Securities Agent State Law Examination	1998-06-25

S65 Uniform Investment Adviser Law Examination

2000-02-17
S63 Uniform Securities Agent State Law Examination

1998-06-25

Designations

Other Names

Jim Horst
James Horst

View on SEC IAPD