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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-06-14
TX RA APPROVED_RES 2024-06-14
  • CO RA
    APPROVED
    Since 2024-06-14
  • TX RA
    APPROVED_RES
    Since 2024-06-14

Branch Locations

317 Main Street, Flagler, CO 80815 • United States

750 Main Street, Limon, CO 80828 • 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
Gordon Insurance Limon CO 08/2005 Present
Securities America, Inc. Limon CO 11/2014 06/2024
Securities America Advisors, Inc. Limon CO 06/2019 06/2024
Osaic Wealth, Inc. Flagler CO 06/2024 Present
Osaic Wealth, Inc. Flagler CO 06/2024 Present
  • 08/2005 → Present
    Gordon Insurance
    Limon, CO
  • 11/2014 → 06/2024
    Securities America, Inc.
    Limon, CO
  • 06/2019 → 06/2024
    Securities America Advisors, Inc.
    Limon, CO
  • 06/2024 → Present
    Flagler, CO
  • 06/2024 → Present
    Flagler, CO
Previous Registrations
  • 2019-06-20 → 2024-06-14
    Securities America Advisors, Inc.
    Limon, CO
Other Businesses

1. SIMLA VOLUNTEER FIRE BOARD MEMBER POSITION: Board Member NATURE: I joined the Simla Volunteer Fire Department Board of Directors. no pay INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2016 ADDRESS: 219 Sioux Ave, Simla CO 80835 DESCRIPTION: Simple Board Member 2. COMPASS FINANCIAL DBA OF AMENDT INSURANCE AND FINANCIAL, INC. POSITION: Registered Representative NATURE: Compass Financial is a DBA for Amendt Insurance and Financial, Inc. Compass Financial is what I brand my registered rep business through. INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 35 START DATE: 05/01/2005 ADDRESS: 168 E. Ave, Limon CO 80828 DESCRIPTION: Compass Financial is a DBA for Amendt Insurance and Financial, Inc. Compass Financial is what I brand my registered rep business through. 3. GORDON INSURANCE AGENCY POSITION: Agent NATURE: I share an office with Gordon Insurance Agency, Inc. where there primary business is P&C and crop insurance. Gordon Insurance dose some Life, Health and LTC insurance also. Very little disability. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 01/05/2005 ADDRESS: 168 E. Ave, Limon CO 80828 4. COLORADO PROPERTIES, LLC POSITION: COMMERCIAL RENTAL NATURE: COMMERCIAL RENTAL PROPERTIES INVESTMENT RELATED: NO NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: 20800 COUNTY ROAD 129, SIMLA CO 80835 DESCRIPTION: I COLLECT RENT ONCE A MONTH ON WEEKENDS. I WILL FIX STUFF EVERY ONCE IN A WHILE ON WEEKENDS OR NIGHTS. MY WIFE 5. BIG SANDY INVESTMENTS, LLC POSITION: RESIDENTIAL REAL ESTATE - RELATED: NO - NUMBER OF HOURS: 2 - SECURITIES TRADING HOURS: 0 - START DATE: 1/2009 ADDRESS: 20800 COUNTY ROAD 129, SIMLA CO 80835 - DESCRIPTION: I COLLECT RENT OF WEEKENDS. I DO MAINTENANCE ON PROPERTIES O 6. COMPASS TAX, LLC POSITION: Partner - Only Provide Referrals NATURE: This venture is called Compass Tax. I will only be involved by providing referrals for the tax preparer and partner Michael Fulmer. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2020 ADDRESS: 750 Main St, PO Box 555, Limon CO 80828, United States DESCRIPTION: I refer people to Compass Tax's services if I feel that they could benefit from the tax preparation and tax planning services. 7. MOUNTAIN VIEW ELECTRIC ASSOCIATION POSITION: Board of Director NATURE: Utility Cooperative INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 7 START DATE: 06/01/2026 ADDRESS: 1655 5th St, Limon CO 80828, United States DESCRIPTION: Monthly meetings with the board to discuss business operations and strategies.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-06-17
S63 Uniform Securities Agent State Law Examination 2013-06-11
  • S65 Uniform Investment Adviser Law Examination
    2019-06-17
  • S63 Uniform Securities Agent State Law Examination
    2013-06-11
Other Names
  • Tye Amendt

View on SEC IAPD

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