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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-12-13 |
| CT | RA | APPROVED | 2023-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fsc Securities Corporation | Milford | CT | 11/2003 | 11/2023 |
| Independent Financial Consulting | Milford | CT | 07/2003 | Present |
| Osaic Wealth, Inc. | Milford | CT | 11/2023 | Present |
1. INDEPENDENT FINANCIAL CONSULTING, INC. POSITION: Other - Registered Rep, VP Operations & Compliance NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 180 START DATE: 08/01/2003 ADDRESS: 57 Plains Rd, Unit 32, Milford CT 06461, United States DESCRIPTION: Financial Advisor, Performance Report Prep, interacting with clients in person and on phone, manage day to day of office, compliance 2. AMY L FINO - INSURANCE POSITION: Other - VP Operations & Compliance NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2007 ADDRESS: 57 Plains Road Unit 32, Milford CT 06461, United States DESCRIPTION: Run insurance illustrations and do research
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-03-30 |
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