James Jay Lindsay

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2024-01-30
CA	RA	APPROVED	2023-09-01
TX	RA	APPROVED_RES	2023-09-01

NV RA
APPROVED

Since 2024-01-30
CA RA
APPROVED

Since 2023-09-01
TX RA
APPROVED_RES

Since 2023-09-01

Branch Locations

Carlsbad, CA • 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

Organization	City	State	From	To
Guardian Life Insurance Co Of America	Carlsbad	CA	01/2013	Present
Sagepoint Financial	Carlsbad	CA	07/2013	09/2023
Osaic Wealth, Inc.	Carlsbad	CA	09/2023	Present

01/2013 → Present

Guardian Life Insurance Co Of America

Carlsbad, CA
07/2013 → 09/2023

Sagepoint Financial

Carlsbad, CA
09/2023 → Present

Osaic Wealth, Inc.

Carlsbad, CA

Previous Registrations

2013-07-15 → 2023-09-01

Osaic Services, Inc.

Carlsbad, CA

Carlsbad, CA

Carlsbad, CA

Carlsbad, CA
2012-09-18 → 2013-07-01

Park Avenue Securities Llc

Carlsbad, CA

San Diego, CA

Other Businesses

1) INSURANCE SERVICES INCLUDING HEALTH & ACCIDENT, LIFE, AND P&C INSURANCE AND AN AGENT OF (GA'S) MCKENZIE INS, COLONY-WEST, BURNS & WILCOX AND BTIS. H&A COVERAGE THROUGH COVERED CALIFORNIA EXCHANGE AND DIRECT WITH CARRIERS (BLUE SHIELD, ANTHEM, KAISER, HEALTH NET, AETNA, DELTA DENTAL, PACIFIC SW, CAL DENTAL AND HEALTH EDGE); 25 HRS/MO; 5 DURING TRADING HRS; NON INVESTMENT RELATED. 2) INDEPENDENT CONTRACTOR FOR FREDCO PACKAGING AND PRIME PARTITONS PACKAGING, REFER BUSINESS AND RECEIVE A COMMISSION; 25 HRS/MO; 10 DURING TRADING HRS; NON INVESTMENT RELATED. 3) PLUS ONE FLYERS CLUB; 2605 LA GOLONDRINA ST, CARLSBAD CA 92009; INDEPENDENT PLANE OWNER AND OPS MGR; 15 HRS/MO; 3 DURING TRADING HOURS; MANAGE AND RENT PLANE TO CLUB MEMBERS; NON INVESTMENT RELATED. 4) ZONE WEAR; OWNER; MAKE T-SHIRTS WITH LOGO; 2605 LA GOLONDRINA ST, CARLSBAD CA 92009; 5HRS/MO; 0 DURING TRADING HRS; NON INVESTMENT RELATED. 5) LIFE, DI AND LTC POSITION: Other - Independent Agent under ICM (Independent Captial Management, Inc.)Broker under Guardian Life (Mainly Service older contracts written) NATURE: Sole Prop. INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 07/01/2013 ADDRESS: 2605 La Golondrina St., Carlsbad CA 92009, United States DESCRIPTION: Sell Life, Disability and Long Term Care Insurance Products 6) ICM LENDING POSITION: Rep. NATURE: ICM LENDING. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2021 ADDRESS: 6 Corte Pinturas, San Clemente CA 92673, United States DESCRIPTION: Refer clients looking for a Mortgage or a refinance to Jack Wlodkoski and he pays ICM a commission, then ICM pays myself.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-08-30
S63	Uniform Securities Agent State Law Examination	2012-01-18

S65 Uniform Investment Adviser Law Examination

2012-08-30
S63 Uniform Securities Agent State Law Examination

2012-01-18

Other Names

Jim Lindsay
Jimmy Lindsay

View on SEC IAPD