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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-04-05
  • FL RA
    APPROVED
    Since 2024-04-05

Branch Locations

1645 Indian Wood Circle Suite 102, Maumee, OH 43537 • United States

Punta Gorda, FL • 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
Spc Ann Arbor MI 06/2012 04/2024
Unemployed Punta Gorda FL 04/2024 Present
Osaic Wealth, Inc. Punta Gorda FL 04/2024 Present
  • 06/2012 → 04/2024
    Ann Arbor, MI
  • 04/2024 → Present
    Unemployed
    Punta Gorda, FL
  • 04/2024 → Present
    Punta Gorda, FL
Previous Registrations
  • 2012-06-18 → 2024-04-01
    Ann Arbor, MI
    Maumee, OH
  • 2011-07-11 → 2011-11-17
    Maumee, OH
    Ann Arbor, MI
Other Businesses

1. GRAIN FARMING POSITION: Owner NATURE: I OWN A SMALL FARM AND SHARE THE COSTS AND INCOME FROM CROPS GROWN ON THE LAND FOR ABOUT $6,000 PER YEAR. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 03/15/1994 ADDRESS: County Road V, Archbold OH 43502 DESCRIPTION: Share in decision making and routine farm maintenance for field access and harvesting. 2. PRECISION DRAINAGE SYSTEMS, LLC POSITION: Owner/Member NATURE: I AM A 50% OWNER/MEMBER OF PRECISION DRAINAGE SYSTEMS, L.L.C. WHICH INSTALLS FIELD TILE DRAINAGE SYSTEMS IN AGRICULTURAL LAND. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2013 ADDRESS: 23144 US Highway 20, Fayette OH 43521 DESCRIPTION: Accounting and bookkeeping services, help prepare and review client quotes for subsurface drainage projects, and subsurface drainage design. 3. ENGLER, GARROW & ROTH, LTD. POSITION: Financial Planner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 01/02/2013 ADDRESS: 1645 Indian Wood Circle, Suite 102, Maumee OH 43537, United States DESCRIPTION: Financial planning and client support with concentration in risk management, insurance analysis, budgeting, financial goal setting, retirement planning, and estate planning.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-02-22
S65 Uniform Investment Adviser Law Examination 2011-07-09
  • S63 Uniform Securities Agent State Law Examination
    2025-02-22
  • S65 Uniform Investment Adviser Law Examination
    2011-07-09
Designations

View on SEC IAPD

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