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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-01 |
| TN | RA | APPROVED | 2024-06-14 |
Branch Locations
211 Dunbar Cave Rd Ste 235B, Clarksville, TN 37043 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Hendersonville | TN | 12/2014 | 01/2019 |
| The Prudential Insurance Company Of America | Hendersonville | TN | 12/2014 | 01/2019 |
| Us Navy Reserve | Millington | TN | 03/2002 | Present |
| Securities America, Inc. | Clarksville | TN | 03/2020 | 06/2024 |
| Securities America Advisors | Clarksville | TN | 01/2021 | 06/2024 |
| Osaic Wealth, Inc. | Clarksville | TN | 06/2024 | Present |
***RMB FINANCIAL, PLLC POSITION: Owner NATURE: Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/18/2018 ADDRESS: 116 Verisa Drive, Clarksville TN 37043, United States DESCRIPTION: Insurance sales ***RMB FINANCIAL, PLLC POSITION: Advisor NATURE: Advisory services with Securities America Advisors. INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/04/2021 ADDRESS: 116 Verisa Drive, Clarksville TN 37043, United States DESCRIPTION: Provide advisory services to clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-30 |
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