Steven Brent Balloch

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-01-02
NM	RA	APPROVED	2023-03-08
MN	RA	APPROVED	2023-03-07
PA	RA	APPROVED	2023-03-07
RI	RA	APPROVED	2023-03-07
SC	RA	APPROVED	2023-03-07
WA	RA	APPROVED	2023-03-07
NJ	RA	APPROVED	2019-09-23
FL	RA	APPROVED	2019-09-18
CT	RA	APPROVED	2019-09-17
ME	RA	APPROVED	2019-09-17
NH	RA	APPROVED	2019-07-30
CA	RA	APPROVED	2018-11-02
MA	RA	APPROVED	2018-11-02

TX RA
APPROVED

Since 2024-01-02
NM RA
APPROVED

Since 2023-03-08
MN RA
APPROVED

Since 2023-03-07
PA RA
APPROVED

Since 2023-03-07
RI RA
APPROVED

Since 2023-03-07
SC RA
APPROVED

Since 2023-03-07
WA RA
APPROVED

Since 2023-03-07
NJ RA
APPROVED

Since 2019-09-23
FL RA
APPROVED

Since 2019-09-18
CT RA
APPROVED

Since 2019-09-17
ME RA
APPROVED

Since 2019-09-17
NH RA
APPROVED

Since 2019-07-30
CA RA
APPROVED

Since 2018-11-02
MA RA
APPROVED

Since 2018-11-02

Branch Locations

Derry, NH • United States

23 Keewaydin Drive Suite 205, Salem, NH 03079 • 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

Organization	City	State	From	To
S.I.I.	Andover	MA	07/2003	11/2018
Osaic Wealth, Inc.	Andover	MA	11/2018	Present

07/2003 → 11/2018

S.I.I.

Andover, MA
11/2018 → Present

Osaic Wealth, Inc.

Andover, MA

Previous Registrations

2010-06-02 → 2018-11-02

Signator Investors, Inc.

Andover, MA

Andover, MA

Other Businesses

1) POINTES NORTH WEALTH MANAGEMENT, LLC POSITION: Founding Partner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/25/2019 ADDRESS: 23 Keewaydin Dr Ste 205, Salem NH 03079, United States DESCRIPTION: Sale of fixed insurance and general office administration. 2) STEVEN B BALLOCH POSITION: Notary Public NATURE: individual- Notary INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/28/2019 ADDRESS: 23 Keewaydin Dr Ste 205, Salem NH 03079, United States DESCRIPTION: State of New Hampshire Notary Public 3) POINTES NORTH WEALTH MANAGEMENT, LLC-FIXED INSURANCE POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/25/2019 ADDRESS: 23 Keewaydin Dr Ste 205, Salem NH 03079, United States DESCRIPTION: sales/marketing of fixed annuities and non-variable insurance

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2004-05-27

S63 Uniform Securities Agent State Law Examination

2004-05-27

Designations

Other Names

S. Brent Balloch
Brent Balloch

View on SEC IAPD