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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 | 2024-06-10 |
| IN | RA | APPROVED | 2018-11-02 |
Branch Locations
9800 Crosspoint Blvd Suite 200, Indianapolis, IN 46256 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2008 | 10/2016 |
| Northwestern Mutual Investment Services, Llc | Indianapolis | IN | 06/2008 | 10/2016 |
| Dfi Group, Llc | Indianapolis | IN | 01/2002 | 10/2016 |
| Sii | Indianapolis | IN | 11/2016 | 11/2018 |
| Osaic Wealth, Inc. | Indianapolis | IN | 11/2018 | Present |
1. CLEARWATER FINANCIAL MANAGEMENT POSITION: I conduct investment and insurance business under this business name NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/03/2022 ADDRESS: 10475 Crosspoint Blvd, Suite 250, Indianapolis IN 46256, United States DESCRIPTION: Sales/marketing of securities, investment advisory and insurance products 2. CLEARWATER FINANCIAL MANAGEMENT POSITION: agent NATURE: sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/07/2022 ADDRESS: 10475 Crosspoint Blvd, Suite 250, Indianapolis IN 46256, United States DESCRIPTION: sales/marketing of fixed annuities and non-variable insurance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-13 |
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