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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2024-03-13
CT RA APPROVED 2019-07-30
RI RA APPROVED 2018-11-02
  • MA RA
    APPROVED
    Since 2024-03-13
  • CT RA
    APPROVED
    Since 2019-07-30
  • RI RA
    APPROVED
    Since 2018-11-02

Branch Locations

100 Corporate Place Suite 130, Rocky Hill, CT 06067 • United States

935 Jefferson Boulevard Suite 2000, Warwick, RI 02886 • 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
Jhfn Sii Warwick RI 07/2012 11/2018
Royal Alliance Associates, Inc. Warwick RI 11/2018 Present
  • 07/2012 → 11/2018
    Jhfn Sii
    Warwick, RI
  • 11/2018 → Present
    Royal Alliance Associates, Inc.
    Warwick, RI
Previous Registrations
  • 2013-01-30 → 2018-11-02
    Signator Investors, Inc.
    Warwick, RI
Other Businesses

1. INSURANCE POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/25/2012 ADDRESS: 935 Jefferson Blvd., Suite 2000, Warwick RI 02889, United States DESCRIPTION: Insurance Sales

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-29
  • S66 Uniform Combined State Law Examination
    2012-12-29

View on SEC IAPD

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