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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-01-19
IL RA APPROVED 2024-01-19
TX RA APPROVED_RES 2024-01-19
  • FL RA
    APPROVED
    Since 2024-01-19
  • IL RA
    APPROVED
    Since 2024-01-19
  • TX RA
    APPROVED_RES
    Since 2024-01-19

Branch Locations

Ft. Myers Beach, FL • United States

27575 Ferry Rd Ste 101, Warrenville, IL 60555 • 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
OrganizationCityStateFromTo
Phoenix Home Life Rosemont IL 07/1998 Present
Wodbury Financial Services Darien IL 12/2002 01/2024
Osaic Wealth, Inc. Warrenville IL 01/2024 Present
  • 07/1998 → Present
    Phoenix Home Life
    Rosemont, IL
  • 12/2002 → 01/2024
    Wodbury Financial Services
    Darien, IL
  • 01/2024 → Present
    Warrenville, IL
Previous Registrations
  • 2003-02-21 → 2024-01-19
    Woodbury Financial Services, Inc.
    Coal City, IL
    Darien, IL
    Lisle, IL
    Joliet, IL
    Joliet, IL
    Warrenville, IL
    Naples, FL
    Naples, FL
  • 1999-05-16 → 2002-12-17
    Ws Griffith Securities, Inc.
    Rosemont, IL
Other Businesses

1) SELL TRADITIONAL LIFE INS, HEALTH INS, LONG TERM CARE INS AND FIXED ANNUITIES; 27575 Ferry Rd, Ste. 101 Warrenville, IL 60555; INVESTMENT RELATED BUSINESS; 12/15/2002; DEVOTE 50 HRS/MO; 50 HRS/MO DURING TRADING HRS; OBTAIN QUOTES, PROPOSALS FOR TRADITIONAL LIFE & HEALTH INS PRODUCTS, LONG TERM CARE 2) NORTHPOINT FINANCIAL GROUP POSITION: Financial Advisor NATURE: Using Northpoint Financial Group as DBA. The nature of business is investment advise as IAR/RR INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2018 ADDRESS: 27575 Ferry Rd., Ste. 101, Warrenville IL 60555, United States DESCRIPTION: Providing investment advise and financial planning advise to clients. 3) NORTHPOINT FINANCIAL GROUP POSITION: IAR/RR NATURE: Using Northpoint Financial Group as DBA for marketing purposesOBTAIN QUOTES, PROPOSALS FOR TRADITIONAL LIFE & HEALTH INS PRODUCTS, LONG TERM CARE INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 06/01/2018 ADDRESS: 27575 Ferry Rd., Ste. 101, Warrenville IL 60555, United States DESCRIPTION: Obtain quotes, create proposals, and sell traditional life insurance, health insurance, long term care and fixed annuities.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-12
S63 Uniform Securities Agent State Law Examination 1998-07-22
  • S65 Uniform Investment Adviser Law Examination
    1999-04-12
  • S63 Uniform Securities Agent State Law Examination
    1998-07-22
Other Names
  • Lucy Schmidberger
  • Lucille Schmidberger

View on SEC IAPD

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