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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-05-17
FL RA APPROVED 2021-04-08
  • NC RA
    APPROVED
    Since 2024-05-17
  • FL RA
    APPROVED
    Since 2021-04-08

Branch Locations

Waynesville, NC • United States

6160 Central Avenue Suite 200, St Petersburg, FL 33707 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gries Management, Llc Tampa FL 06/2006 05/2019
Hancock Whitney Bank St. Petersburg FL 05/2019 03/2021
Hancock Whitney Investment Services, Inc. St. Petersburg FL 05/2019 03/2021
21St Century Financial St. Petersburg FL 03/2021 Present
Osaic Wealth, Inc. St Petersburg FL 03/2021 Present
  • 06/2006 → 05/2019
    Gries Management, Llc
    Tampa, FL
  • 05/2019 → 03/2021
    Hancock Whitney Bank
    St. Petersburg, FL
  • 05/2019 → 03/2021
    St. Petersburg, FL
  • 03/2021 → Present
    21St Century Financial
    St. Petersburg, FL
  • 03/2021 → Present
    St Petersburg, FL
Previous Registrations
Other Businesses

1. 21ST CENTURY FINANCIAL POSITION: Agent NATURE: Insurance - North Carolina Licensed Agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/01/2021 ADDRESS: 6160 Central Ave, Suite 200, St. Petersburg FL 33707, United States DESCRIPTION: Provide Life Insurance and Annuity options to clients. 2. MARTIN FAMILY TRUST POSITION: Trustee NATURE: My wife and I have a revocable trust The revocable trust is a client of the firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/29/2019 ADDRESS: 477 Tapestry Trail, Waynesville NC 28785, United States DESCRIPTION: My wife and I have a trust for the majority of our assets. We both serve as trustees for the trust. 3. AVALON AT JUNALUSKA PROPERTY OWNERS ASSOCIATION POSITION: Board Member NATURE: Neighborhood property owner's association INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 554 Tapestry Trail, Waynesville NC 28785, United States DESCRIPTION: Serve as a board member on the Avalon neighborhood association. Attend board meetings and vote on association related issues.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-19
S63 Uniform Securities Agent State Law Examination 2002-09-16
  • S66 Uniform Combined State Law Examination
    2019-12-19
  • S63 Uniform Securities Agent State Law Examination
    2002-09-16

View on SEC IAPD

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