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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2023-11-03
  • VA RA
    APPROVED
    Since 2023-11-03

Branch Locations

Great Falls, VA • United States

719 Pine St, Herndon, VA 20170 • 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
Fsc Securites Corp Herndon VA 09/2016 11/2023
Lpl Financial Herndon VA 09/2010 09/2016
Osaic Wealth, Inc. Herndon VA 11/2023 Present
  • 09/2016 → 11/2023
    Fsc Securites Corp
    Herndon, VA
  • 09/2010 → 09/2016
    Lpl Financial
    Herndon, VA
  • 11/2023 → Present
    Herndon, VA
Previous Registrations
  • 2021-11-24 → 2023-11-03
    Fsc Securities Corporation
    Herndon, VA
Other Businesses

1) SAVAL LIVESTOCK LLC POSITION: Manager NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: P.O. Box 296, Battle Mountain NV 89820, United States DESCRIPTION: 1. Gather data on herd size and communicate including sale of the calves-2. Make sure all of the financial info is intax accountants handsand K-1s are distributed3. Decision to increase herd size and possible purchase to get to 50 head of cattle4. If there is a purchase need to arrange for acclimatization and feed5. Decision on financial distribution and/or distribution of meat if there is a decision to slaughter6. Wrangle the members for decisions. 2) DELLINGER ENTERPRISES LLC POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/18/2011 ADDRESS: 719 Pine Street, Herndon VA 20170, United States DESCRIPTION: Financial Advisor

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-24
  • S66 Uniform Combined State Law Examination
    2021-11-24
Other Names
  • Kathryn Jane Okusa
  • Kiri Pugh
  • Kathryn Jane Pugh
  • Kathryn Pugh

View on SEC IAPD

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