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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2024-06-14 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Fargo | ND | 11/2017 | 07/2018 |
| National Planning Corporation | Fargo | ND | 10/2011 | 11/2017 |
| Securities America, Inc. | Fargo | ND | 07/2018 | 06/2024 |
| Securities America Advisors | Fargo | ND | 07/2018 | 06/2024 |
| Osaic Wealth, Inc. | Fargo | ND | 06/2024 | Present |
| Osaic Wealth, Inc. | Fargo | ND | 06/2024 | Present |
1. Securities America Advisors Position: IAR Nature: Manage advisory accounts Investment Related: Yes Hours: 80 Securities Trading Hours: 80 Start Date: 07/13/2018 Address: 3223 32nd Ave S, Suite 202, Fargo ND 58103 2. TREVOR ANDERSON POSITION: OWNER NATURE: SELLING FIXED INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2012 ADDRESS: 3223 32nd Ave S, SUITE 202, FARGO ND 58103 DESCRIPTION: SELLING TERM, UNIVERSAL, INDEXED UNIVERSAL LIFE AND FIXED/INDEXED ANNUITIES. 3. Diversified Wealth Management - DBA 4. DWM PARTNERS, LLC POSITION: Officer NATURE: Paying office expenses. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/05/2020 ADDRESS: 3223 32nd Ave S Ste 202, Fargo ND 58103 DESCRIPTION: Collect checks from the other partners in the office, deposit them into the LLC acct, and pay monthly office expenses. 5. HART FINANCIAL CORP. POSITION: Sole owner NATURE: S-Corp I funnel my income through it for tax purposes. My SAI income is deposited into this account. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 3223 32nd Ave. S., Ste 202, Fargo ND 58103 DESCRIPTION: It is an S-Corp used for receiving payment from SAI and filing taxes. 6. TRH PROPERTIES, LLC POSITION: Owner NATURE: Own and rent out real estate under TRH Properties, LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/10/2025 ADDRESS: 731 Ryan Rd, Mapleton ND 58059, United States DESCRIPTION: Collect rent Pay expenses
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-11 |
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