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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2021-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | Mitchell | SD | 04/2000 | Present |
| Dice, Thomas Joel | Mitchell | SD | 12/2002 | 12/2019 |
| Dice Financial Investment Advisory, Llc | Mitchell | SD | 12/2019 | 12/2021 |
1. DICE FINANCIAL SERVICES GROUP POSITION: Stockholder/Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2011 ADDRESS: 1716 N Sanborn Blvd, Mitchell, SD 57301 DESCRIPTION: Referral of health insurance clients to the Banks HSA savings account to accommodate their use of the HSA savings available through participation of eligible health insurance plan. 2. DICE BENEFITS CONSULTING LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 6 START DATE: ADDRESS: 1716 N Sanborn Blvd, Mitchell, SD 57301 DESCRIPTION: Dice Benefits Consulting LLC provides consulting services to Employers with 50 or more employees for employee health insurance programs and employee wellness programs for a fee. Dice Benefits Consulting LLC does not accept commissions for this advice. 3. JOINTLY OWNED FARM LAND POSITION: Joint Owner NATURE: Farm INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2012 ADDRESS: 48092 237th St, Flandreau, SD 57301 DESCRIPTION: Land is setup as jointly owned between 5 siblings in family. Cash rent is gained from property and brother is the manager of it. 4. DICE FINANCIAL SERVICES GROUP POSITION: Notary Public NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/29/2015 ADDRESS: 1716 N Sanborn Blvd, Mitchell SD 57301 DESCRIPTION: Provide notary public for clients who have forms that need a notary for their signature. This is typically done on a limited basis. 5. DT BUILDERS LLC POSITION: Partner NATURE: Limited Liability Company INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/30/2010 ADDRESS: 1716 N Sanborn Blvd - PO Box 790., Mitchell SD 57301 DESCRIPTION: 37.5% minority partner in DT Builders LLC which is a SD entity created in December 2010. The LLC was established for the purpose of constructing and operating an office building at 1716 North Sanborn, Mitchell SD. The building converted to a condominium and DT Builders LLC owns Unit A and sold the remainder of the building as Unit B. 6. DICE FINANCIAL SERVICES GROUP POSITION: Partner & President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2000 ADDRESS: 1716 N Sanborn Blvd PO Box 790, Mitchell SD 57301 DESCRIPTION: Sales and service of life, health, group, long term care, disability, and similar insurance products 7. DICE FINANCIAL SERVICES GROUP POSITION: Partner & President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 03/01/2006 ADDRESS: 1716 N Sanborn Blvd, Mitchell SD 57301, United States DESCRIPTION: Assist agents in with marketing and servicing of group health insurance and individual insurance to their clients. 8. MICHAEL LEBRUN POSITION: Notary Public NATURE: Notary Public South Dakota INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/29/2021 ADDRESS: 1716 N Sanborn Blvd, Mitchell SD 57301 DESCRIPTION: Occasionally notarize documents for clients as needed. No fee collected from this activity. 9. ABBOTT HOUSE POSITION: Board Member NATURE: Non-Profit INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/21/2025 ADDRESS: 909 Court Merrill, Mitchell SD 57301, United States DESCRIPTION: I will serve as a board member for Abbott House, which is a non-profit that helps at risk children
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-15 |
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