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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sterne Agee Financial Services, Inc. | New Castle | PA | 09/2014 | 07/2020 |
| Sterne Agee Investment Advisor Services, Inc. | Birmingham | AL | 01/2015 | 07/2020 |
| Securities America Inc | New Castle | PA | 07/2020 | 06/2024 |
| Securities America Advisors | New Castle | PA | 07/2020 | 06/2024 |
| Osaic Wealth, Inc. | New Castle | PA | 06/2024 | Present |
SAA POSITION: Investment Consultant/Advisor NATURE: Advisory Affiliation: SSA INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 04/01/2020 ADDRESS: 10 N. Mill St., New Castle PA 16101, United States DESCRIPTION: Potential sales of advisory brokerage accounts to investment clients DIVERSIFIED ADVISOR GROUP, LLC POSITION: Agent/Owner NATURE: InsuranceAgency INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 17 START DATE: 01/01/2006 ADDRESS: 10 N. Mill St., New Castle PA 16101, United States DESCRIPTION: Sell life insurance, health insurance, disability insurance, long term care insurance, and fixed annuities MARY KAY COSMETICS POSITION: sales rep NATURE: Mary Kay Cosmetics INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1998 ADDRESS: 155 Witherspoon Rd., Enon Valley PA 16120, United States DESCRIPTION: cosmetics sales UNITED WAY OF LAWRENCE COUNTY POSITION: Board Member/Secretary NATURE: United Way of Lawrence County INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2004 ADDRESS: 223 N. Mercer St, New Castle PA 16101, United States DESCRIPTION: Attend Board Meetings and Executive Committee Meetings 1-2 hours per month DBA - Diversified Advisor Group, LLC
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-02 |
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