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Current Employers
Focus Financial

1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2016-08-01
  • WI RA
    APPROVED
    Since 2016-08-01

Branch Locations

3530 Stewart Avenue, Wausau, WI 54401 • United States

1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413 • 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
Osaic Wealth, Inc. Weston WI 07/2016 Present
Focus Financial Weston WI 07/2016 Present
  • 07/2016 → Present
    Osaic Wealth, Inc.
    Weston, WI
  • 07/2016 → Present
    Weston, WI
Previous Registrations
  • 2015-07-30 → 2016-07-20
    Securian Financial Services, Inc.
    St. Paul, MN
  • 2015-07-30 → 2016-07-20
    Cri Securities, Llc
    St. Paul, MN
Other Businesses

1. FOCUS FINANCIAL NETWORK INC. POSITION: Financial Advisor NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/22/2016 ADDRESS: 3530 Stewart Ave., Wausau WI 54401, United States DESCRIPTION: Meet with Cleints to discuss personal financial situations. Annual review with cleints regarding assets and financial planning recommendations and on going support. 2. FOCUS FINANCIAL NETWORK INC. POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 07/22/2016 ADDRESS: 3530 Stewart Ave., Wausau WI 54401, United States DESCRIPTION: Sales of Life Insurance and Disability Insurance products. 3. FFREG LLC POSITION: Member NATURE: Partnership LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/06/2021 ADDRESS: 3530 Stewart Ave, Wausau WI 54401, United States DESCRIPTION: This partnership will own building that houses our financial planning practice. Duties will be managing this property 4. TPG LLC POSITION: member NATURE: Partnership LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/04/2021 ADDRESS: 3530 Stewart Ave, Wausau WI 54401, United States DESCRIPTION: This partnership will own part of a building for my financial planning practice. Duties will be to help in the managing of the property. 5. FFG LLC POSITION: Member NATURE: Partnership LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2019 ADDRESS: 3530 Stewart Ave., Wausau WI 54401, United States DESCRIPTION: Reconciling bank account, calculating expense and rent allocation 6. NATE PIEL-OUTSIDE INSURANCE SALES POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/01/2025 ADDRESS: 3530 Stewart Ave., Wausau WI 54401, United States DESCRIPTION: Sales and Service of Life, Disability, Health, LTC Insurance, non-registered annuity products

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-23
  • S66 Uniform Combined State Law Examination
    2015-07-23

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