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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 2024-01-11
TX RA APPROVED 2024-01-09
OK RA APPROVED 2023-11-03
  • FL RA
    APPROVED
    Since 2024-01-11
  • TX RA
    APPROVED
    Since 2024-01-09
  • OK RA
    APPROVED
    Since 2023-11-03

Branch Locations

301 Nw 61St, Oklahoma City, OK 73118 • United States

3636 North Roff Avenue, Oklahoma City, OK 73112 • 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
Fsc Securities Corporation Atlanta GA 09/2002 11/2023
Osaic Wealth, Inc. Oklahoma City OK 11/2023 Present
  • 09/2002 → 11/2023
    Fsc Securities Corporation
    Atlanta, GA
  • 11/2023 → Present
    Oklahoma City, OK
Previous Registrations
  • 2004-06-25 → 2023-11-03
    Fsc Securities Corporation
    Oklahoma City, OK
    Enid, OK
    Enid, OK
Other Businesses

1) JUSTIN J. KLEIN DBA CAPITAL ASSET MANAGEMENT, YES, 3636 N ROFF AVE OKLAHOMA CITY, OK 73112, PARTNER, 2002, 10, 10, MEETING WITH CLIENTS TO ACCESS THEIR NEED FOR LIFE INSURANCE. 2) SPIRIT OF THE WEST FINANCIAL CORP POSITION: Secretary NATURE: C Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 32 START DATE: 09/01/2013 ADDRESS: 3636 N Roff Ave, Oklahoma City OK 73112, United States DESCRIPTION: Wealth Manager 3) CAPITAL ASSET MANAGEMENT POSITION: Other - Wealth Manager NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 25 START DATE: 09/11/2013 ADDRESS: 3636 N Roff Ave Oklahoma City, OK 73112, Oklahoma City OK 73112, United States DESCRIPTION: Advising clients on financial decisions, managing assets, managing employees and other advisors. 4) SPIRIT OF THE WEST FINANCIAL CORP POSITION: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 32 START DATE: 09/01/2013 ADDRESS: 3636 N Roff Ave, Oklahoma City OK 73112, United States DESCRIPTION: Visionary of the DBA Capital Asset Management, Inc where all securities business runs through. Spirit of the West is the Corporation for all business functions, ie payroll, HR, and operating of the business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-13
  • S66 Uniform Combined State Law Examination
    2002-11-13
Designations

View on SEC IAPD

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