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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Stockton | CA | 01/2013 | 10/2017 |
| Securities America Inc. | Stockton | CA | 09/2017 | 06/2024 |
| Securities America Advisors | Stockton | CA | 09/2017 | 06/2024 |
| Osaic Wealth, Inc. | Lodi | CA | 06/2024 | Present |
| Osaic Wealth, Inc. | Lodi | CA | 06/2024 | Present |
1. SMITH, GATSCHET & KOBRIN FINANCIAL GROUP POSITION: Insurance sales NATURE: Potential insurance sales to existing or new clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 10/20/2017 ADDRESS: 1111 W Tokay Street, Suite B, Lodi CA 95240 DESCRIPTION: Recommending, when appropriate, the purchase of various insurance products to existing or prospective clients. This would be done in conjunction with a larger overall financial plan.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-09-23 |
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