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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2019-07-29
VA RA APPROVED 2018-11-02
  • MD RA
    APPROVED
    Since 2019-07-29
  • VA RA
    APPROVED
    Since 2018-11-02

Branch Locations

Annandale, VA • United States

8607 Westwood Center Drive 3Rd Floor, Vienna, VA 22182 • 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
Sii/John Hancock Mclean VA 09/2002 11/2018
Royal Alliance Associates, Inc. Vienna VA 11/2018 Present
  • 09/2002 → 11/2018
    Sii/John Hancock
    Mclean, VA
  • 11/2018 → Present
    Royal Alliance Associates, Inc.
    Vienna, VA
Previous Registrations
  • 2004-09-13 → 2018-11-02
    Signator Investors, Inc.
    Mclean, VA
    Vienna, VA
Other Businesses

1. Financial Planning presentations to federal employees: NITP 39 W Montgomery Ave Rockville, MD 20850, start 10/23/17, approx. 10 hrs mo, 6 hrs trading.... 2. FIXED INSURANCE POSITION: Financial Advisor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/15/2026 ADDRESS: 8607 Westwood Center Drive, 3rd Floor, Vienna VA 22182, United States DESCRIPTION: Sales and service of fixed insurance products such as life, LTC, DI and annuities

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-07-14
S63 Uniform Securities Agent State Law Examination 2004-02-11
  • S65 Uniform Investment Adviser Law Examination
    2004-07-14
  • S63 Uniform Securities Agent State Law Examination
    2004-02-11
Designations

View on SEC IAPD

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