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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2025-03-24 |
| IL | RA | APPROVED | 2024-07-29 |
| SD | RA | APPROVED | 2024-07-19 |
| FL | RA | APPROVED | 2024-07-02 |
| NE | RA | APPROVED | 2024-07-02 |
| IA | RA | APPROVED | 2023-07-24 |
| NC | RA | APPROVED | 2023-07-21 |
| GA | RA | APPROVED | 2023-07-20 |
| IN | RA | APPROVED | 2023-07-18 |
| TX | RA | APPROVED_RES | 2023-07-18 |
| WI | RA | APPROVED | 2023-07-18 |
| CA | RA | APPROVED | 2023-07-17 |
| CO | RA | APPROVED | 2023-07-17 |
| OH | RA | APPROVED | 2023-07-17 |
| MN | RA | APPROVED | 2018-11-02 |
Branch Locations
2770 Commerce Drive Nw, Rochester, MN 55901 • United States
Rochester, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signator Investors, Inc. | Rochester | MN | 05/2016 | Present |
| Royal Alliance Associates, Inc. | Rochester | MN | 11/2018 | 06/2023 |
| Osaic Wealth | Rochester | MN | 06/2023 | Present |
1. SECURITIES SUPPORT UNIT, LLP DBA SECURITIES SUPPORT DEPARTMENT POSITION: Senior OSJ Branch MGR & Director of Securities Ops NATURE: back office securities supervision & compliance INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 120 START DATE: 12/15/2003 ADDRESS: 2770 Commerce Dr. NW, Rochester MN 55901 DESCRIPTION: Manage SSU staff, run SSU operations, responsible for branch securities training, management, and compliance duties for advisors within the branch 2. LISA R DOHERTY- RENTAL PROPERTY POSITION: owner NATURE: personally owned condo for rentals INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2022 ADDRESS: 927 19th St SE, Rochester MN 55904 DESCRIPTION: bought a condotel (condo hotel hybrid) that I won and receive income from, but it is 100% managed by the hotel (unit 2217 Tradewinds Resort, St Pete Beach, FL) 3. SUCCESSOR CO-POA & TRUSTEE FOR IMMEDIATE FAM POSITION: Successor Ttee/POA NATURE: successor co-trustee & successor co-POA for Leigh Ann Vold (mother) & Dwight Vold (Stepdad) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2022 ADDRESS: 904 19th St SE, Rochester MN 55904 DESCRIPTION: POA & TTEE duties when the primary POA/TTEE is not able to perform them. 4. ADVISOR'S ADVANTAGE NETWORK POSITION: Chief Strategy & Operations Officer NATURE: LLP is Securities Support Unit (disclosed separately), but this is the DBA used for the advisors/public and filed with the state INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/06/2024 ADDRESS: 2770 Commerce Dr NW, Rochester MN 55901, United States DESCRIPTION: OSJ/director role/duties are disclosed under Securities Support Unit- this will solely be our DBA name
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-10 |
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