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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-01-11 |
| TX | RA | APPROVED | 2024-01-09 |
| OK | RA | APPROVED | 2023-11-03 |
Branch Locations
301 Nw 61St, Oklahoma City, OK 73118 • United States
3636 North Roff Avenue, Oklahoma City, OK 73112 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fsc Securities Corporation | Atlanta | GA | 09/2002 | 11/2023 |
| Osaic Wealth, Inc. | Oklahoma City | OK | 11/2023 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-11-13 |
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