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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | San Diego | CA | 03/2009 | 10/2017 |
| Sagepoint Financial, Inc | San Diego | CA | 10/2017 | Present |
| Osaic Wealth, Inc. | San Diego | CA | 09/2023 | Present |
1. IE&J, LLC POSITION: Owner NATURE: S-Corp, for pass through on taxes INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2022 ADDRESS: 4540 Kearny Villa Rd #202, San Diego CA 92123, United States DESCRIPTION: Owner/Director of the S-Corp. 2. TANSEY FAMILY TRUST POSITION: Owner NATURE: Office condo I work out of. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2018 ADDRESS: 4540 Kearny Villa Rd #202, San Diego CA 92123, United States DESCRIPTION: Owner of the office I work out of. 3. ADVENT FINANCIAL SERVICES (FICTITIOUS BUSINESS NAME)) POSITION: Owner NATURE: Fictitious business name we use. Not a corp. or LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 10/01/2017 ADDRESS: 4540 Kearny Villa Rd #202, San Diego CA 92123, United States DESCRIPTION: I'm the sole advisor under this business name. Duties would be that of an advisor. 4. JOSEPH TANSEY POSITION: Owner NATURE: Individual recommending or selling fixed insurance products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2023 ADDRESS: 4540 Kearny Villa Rd #202, san diego CA 92123, United States DESCRIPTION: As part of the financial planning process, we may recommend a client invest in fixed annuities or life insurance where appropriate. We would request an illustration, present to the client, take the application and send to the underwriter. 5. JOSEPH TANSEY POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2023 ADDRESS: 4540 Kearny Villa Rd #202, San Dieg0 CA 92123, United States DESCRIPTION: I will occasionally recommend Fixed annuities, Life Insurance, or LTC where appropriate.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-16 |
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