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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-11-03 |
| TX | RA | APPROVED | 2023-11-03 |
Branch Locations
6029 Belt Line Rd Suite 245, Dallas, TX 75254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Llc | Dallas | TX | 07/2011 | 03/2020 |
| Fsc Securities Corporation | Dallas | TX | 03/2020 | 11/2023 |
| Osaic Wealth, Inc. | Dallas | TX | 11/2023 | Present |
1) STERN FINANCIAL SERVICES POSITION: Financial Professional NATURE: sole prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 04/01/2020 ADDRESS: 16302 Red Cedar Trail, Dallas TX 75248, United States DESCRIPTION: Financial professional selling securities and insurance. 2) JEFFREY SHENKMAN POSITION: Insurance agent NATURE: Insurance agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 03/02/2020 ADDRESS: 6727 Bevington Rd, Dallas TX 75248, United States DESCRIPTION: I offer insurance, as appropriate, to end clients.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 2008-06-16 |
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