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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 2026-06-03
TX RA APPROVED_RES 2025-11-08
NC RA APPROVED 2024-06-14
PA RA APPROVED 2024-06-14
  • FL RA
    APPROVED
    Since 2026-06-03
  • TX RA
    APPROVED_RES
    Since 2025-11-08
  • NC RA
    APPROVED
    Since 2024-06-14
  • PA RA
    APPROVED
    Since 2024-06-14

Branch Locations

Sarasota, FL • United States

1404 E Chocolate Ave, Hershey, PA 17033 • 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
National Planning Corporation Hershey PA 08/2004 10/2017
Securities America, Inc. Hershey PA 10/2017 06/2024
Securities America Advisors Hershey PA 10/2017 06/2024
Osaic Wealth, Inc. Hershey PA 06/2024 Present
  • 08/2004 → 10/2017
    National Planning Corporation
    Hershey, PA
  • 10/2017 → 06/2024
    Securities America, Inc.
    Hershey, PA
  • 10/2017 → 06/2024
    Securities America Advisors
    Hershey, PA
  • 06/2024 → Present
    Hershey, PA
Previous Registrations
  • 2017-10-19 → 2024-06-14
    Securities America Advisors, Inc.
    Hershey, PA
  • 2004-08-26 → 2017-10-23
    National Planning Corporation
    Hershey, PA
Other Businesses

1. Insurance Position: Agent Nature: Life Insurance (term and UL) Disability Insurance Long Term Care Investment Related: No Hours: 4 Securities Trading Hours: 0 Start Date: 10/18/2017 Address: 1404 E Chocolate Ave, Hershey PA 17033 2. INDEPENDANT BROKERS OF AMERICA INC. POSITION: owner NATURE: Property and Casualty Insurance Agency INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 ADDRESS: 1345 E Chocolate Ave, Hershey PA 17033 DESCRIPTION: not involved in day-to-day operation of agency 3 TERM/UL/LTC/DI POSITION: Agent NATURE: Life Insurance (term and UL)Disability Insurance Long Term Care INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/18/2017 ADDRESS: 1404 E Chocolate Ave, Hershey PA 17033, United States DESCRIPTION: placement of insurance products to offset risks of our clients. 4. VANDY NATIONS LLC POSITION: limited partner NATURE: Real Estate Ownership INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2021 ADDRESS: 4702 Indiana Ave, Nashville TN 37209, United States DESCRIPTION: None 5. LANDMINE PROPERTIES POSITION: Owner NATURE: S Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2004 ADDRESS: 1404 E Chocolate Ave, Hershey PA 17033, United States DESCRIPTION: Myself and fellow Osaic rep Thomas Zewe own the office building we rent back to our DBA Wealth Management Services. Landmine Properties has an interest in a second piece of real estate at 1345 E Chocolate Ave. Property will be leased to IBA Insurance (other OBA) Landmine Properties has acquired an interest in Loto Station LLC / DBA as the Englewood Restaurant, located at 1215 Research Blvd Hummelstown PA 17036. 6. JEFFREY AND JENNIFER BUCHANAN POSITION: Homeowner NATURE: Real Estate 2nd home owned by my spouse and I INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/18/2022 ADDRESS: 330 Avenida De Paradisio, Sarasota FL 34242, United States DESCRIPTION: None General maintenance of house

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-06-06
S63 Uniform Securities Agent State Law Examination 1999-12-15
  • S65 Uniform Investment Adviser Law Examination
    2003-06-06
  • S63 Uniform Securities Agent State Law Examination
    1999-12-15

View on SEC IAPD

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