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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-09-01
KY RA APPROVED 2023-09-01
  • IL RA
    APPROVED
    Since 2023-09-01
  • KY RA
    APPROVED
    Since 2023-09-01

Branch Locations

601 2Nd Street Suite 101, La Salle, IL 61301 • 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
American General Securities Incorporated Lasalle IL 10/2002 Present
Aig American General Life Insurance Company Lasalle IL 10/2002 Present
Aig Financial Advisors, Inc. La Salle IL 10/2008 Present
Osaic Wealth, Inc. La Salle IL 09/2023 Present
  • 10/2002 → Present
    American General Securities Incorporated
    Lasalle, IL
  • 10/2002 → Present
    Aig American General Life Insurance Company
    Lasalle, IL
  • 10/2008 → Present
    Aig Financial Advisors, Inc.
    La Salle, IL
  • 09/2023 → Present
    La Salle, IL
Previous Registrations
  • 2014-04-25 → 2023-09-01
    Osaic Services, Inc.
    La Salle, IL
Other Businesses

1) HUENEBURG FINANCIAL GROUP, INDEPENDENT INSURANCE SALES, COMMENCED 09/1998, SOLE PROPRIETORSHIP, INVESTMENT-RELATED, 80 HOURS/MONTH TIME SPENT, 0% OWNERSHIP, AGENT/REPRESENTATIVE 2) HUENEBURG FINANCIAL GROUP LLC POSITION: Partner NATURE: Alec K Hueneburg and I formed an LLC at the retirement of our partner, Alex K Hueneburg. The name was approved by the State of Illinois and the County of La Salle this month. INVESTMENT RELATED: Yes NUMBER OF HOURS: 225 SECURITIES TRADING HOURS: 225 START DATE: 01/03/2002 ADDRESS: 601 Second St, Ste 101, La Salle IL 61301, United States DESCRIPTION: Partner of Hueneburg Financial Group, a securities and insurance firm; sales and service of existing book of business and new clients, Notarize documents for clients as needed. 3) HORIZON HOUSE FINANCE COMMITTEE POSITION: Finance Committee Member NATURE: 510(c)3 INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 2000 Plank Rd, Peru IL 61354, United States DESCRIPTION: Review monthly finance reports and annual budget; make recommendations to the Board of Directors regarding expenditures over $5,000 4) HORIZON HOUSE FOUNDATION BOARD POSITION: Foundation Board Member NATURE: 501c(3) - serving developmentally disabled adults INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 2000 Plank Rd, Peru IL 61354, United States DESCRIPTION: Review quarterly financial reports; vote on grants to disabled individuals requesting assistance; approve expenditures over $5,000

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-04-14
S63 Uniform Securities Agent State Law Examination 2000-01-22
  • S65 Uniform Investment Adviser Law Examination
    2014-04-14
  • S63 Uniform Securities Agent State Law Examination
    2000-01-22

View on SEC IAPD

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