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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-14 |
| WA | RA | APPROVED | 2024-06-14 |
Branch Locations
800 Town & Country Blvd Ste 500, Houston, TX 77024 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc. | Seattle | WA | 02/2014 | 11/2020 |
| Securities America, Inc. | Houston | TX | 11/2020 | 06/2024 |
| Securities America Advisors, Inc. | Houston | TX | 11/2020 | 06/2024 |
| Arbor Point Advisors | Houston | TX | 11/2020 | 11/2024 |
| Osaic Wealth, Inc. | Bellevue | WA | 06/2024 | Present |
| Osaic Wealth, Inc. | Bellevue | WA | 06/2024 | Present |
| Osaic Advisory Services, Llc | Atlanta | GA | 11/2024 | Present |
1. INSURANCE SALES POSITION: Insurance Sales NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/21/2014 ADDRESS: 800 Town & Country Blvd, Suite 500, Houston TX 77024 DESCRIPTION: Life, Long Term Care, Disability and Health Insurance Sales. 2. NORTHERN PACIFIC ASSET MANAGEMENT POSITION: President/CEO/Owner NATURE: DBA Northern Pacific Asset Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 35 START DATE: 09/10/2015 ADDRESS: 800 Town & Country Blvd, Suite 500, Houston TX 77024 DESCRIPTION: DBA name for Joshua Graeff, Financial Advisor for wealth management services. 3. VERA PELLE ESTHETICS, INC. POSITION: CFO/Co-Owner/Corporate Secretary NATURE: Spouse's Skin Spa/Esthetics Company. INVESTMENT RELATED: No NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2022 ADDRESS: 19075 I-45 s., Suite #250, Suite 204,, Shenandoah TX 77385 DESCRIPTION: CFO/Corporate Secretary/Co-Owner 4. VERA PELLE ESTHETICS, INC. POSITION: CFO/Co-Owner/Corporate Secretary NATURE: Spouse's Skin Spa/Esthetics Company. INVESTMENT RELATED: No NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2022 ADDRESS: 2200 Edwards St., Ste 305, Houston TX 77007, United States DESCRIPTION: CFO/Corporate Secretary/Co-Owner
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-09-30 |
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