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William James Ugalde

Osaic Wealth, Inc.

Scottsdale, AZ

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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-09-01
  • AZ RA
    APPROVED
    Since 2023-09-01

Branch Locations

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • 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
Sunamerica Securities, Inc. Phoenix AZ 05/2005 Present
Sagepoint Financial, Inc. Phoenix AZ 01/2009 Present
Osaic Wealth, Inc. Jersey City NJ 09/2023 Present
  • 05/2005 → Present
    Sunamerica Securities, Inc.
    Phoenix, AZ
  • 01/2009 → Present
    Sagepoint Financial, Inc.
    Phoenix, AZ
  • 09/2023 → Present
    Osaic Wealth, Inc.
    Jersey City, NJ
Previous Registrations
  • 2017-06-01 → 2023-09-01
    Osaic Services, Inc.
    Scottsdale, AZ
  • 2006-04-24 → 2015-10-09
    Osaic Services, Inc.
    Scottsdale, AZ
    Phoenix, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-21
S63 Uniform Securities Agent State Law Examination 2000-11-17
  • S65 Uniform Investment Adviser Law Examination
    2005-07-21
  • S63 Uniform Securities Agent State Law Examination
    2000-11-17
Other Names
  • Bill J Ugalde

View on SEC IAPD

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JARON DAVID CARMICHAEL
HUSSEIN ELGOHARY

Other Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
IRONWOOD WEALTH ADVISORS, LLC · SCOTTSDALE, AZ
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
FAITH INVESTOR SERVICES · Scottsdale, AZ
MERIDIAN WEALTH MANAGEMENT, LLC · Scottsdale, AZ

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