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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 2025-01-24
  • VA RA
    APPROVED
    Since 2025-01-24

Branch Locations

29 Military Dr, Chatham, VA 24531 • United States

2309 Riverside Drive, Danville, VA 24540 • 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
Snead, Williams & Mayhew, Pllc Danville VA 05/2009 08/2021
Mainstay Financial, Llc Danville VA 08/2015 Present
Lincoln Financial Securities Corporation Danville VA 12/2016 01/2025
Harris, Harvey, Neal & Co Danville VA 09/2021 Present
Osaic Wealth, Inc. Chatham VA 01/2025 Present
  • 05/2009 → 08/2021
    Snead, Williams & Mayhew, Pllc
    Danville, VA
  • 08/2015 → Present
    Mainstay Financial, Llc
    Danville, VA
  • 12/2016 → 01/2025
    Lincoln Financial Securities Corporation
    Danville, VA
  • 09/2021 → Present
    Harris, Harvey, Neal & Co
    Danville, VA
  • 01/2025 → Present
    Chatham, VA
Previous Registrations
  • 2016-12-20 → 2025-01-24
    Osaic Fs, Inc.
    Danville, VA
    Danville, VA
    Raleigh, NC
    Chatham, VA
  • 2015-10-23 → 2017-01-03
    Mainstay Financial, Llc
    Danville, VA
Other Businesses

1) MAINSTAY FINANCIAL, LLC POS: Director NATURE: Insurance INVESTMENT RELATED: Yes # OF HRS: 100 SECURITY TRADING HRS: 100 START DATE: 11/2016 ADDY: Danville VA 24540 DESCRIPT: Offers fixed/indexed annuities traditional life insurance products. 2) MICHAEL MAYHEW POS: Owner NATURE: Real Estate Rental INVESTMENT RELATED: Yes # OF HRS: 1 SECURITY TRADING HRS: 0 START DATE: 12/2018 ADDY: Chatham VA DESCRIPT: Rent land to local farmer. 3) HARRIS, HARVEY, NEAL & CO., LLP POS: Partner-General NATURE: CPA/Legal Entity INVESTMENT RELATED: No # OF HRS: 175 SECURITY TRADING HRS: 175 START DATE: 09/01/2021 ADDY: Danville VA 24540 DESCRIPT: Manage client work associated with tax return preparation, tax planning, audits of various entity financial statements, compilation of financial statements, management of accounting, bookkeeping and payroll activities. 4) TRUSTEE FOR THE ROBERT T. MARSHALL IRREVOCABLE TRUST POS: Trustee NATURE: Fiduciary for Non-Immediate Family Member INVESTMENT RELATED: No # OF HRS: 15 SECURITY TRADING HRS: 15 START DATE: 12/21/22 ADDY: Danville VA 24540 DESCRIPTION: work under our accounting firm, Harris, Harvey, Neal & Co LLP in my fiduciary capacity as a CPA, not as RR 5) HHN BUILDING, LLC POS: Partner-General NATURE: Legal Entity INVESTMENT RELATED: No # OF HRS: 4 SECURITY TRADING HRS: 4 START DATE: 6/1/22 ADDY: Danville VA 24540 DESCRIPT: Assist in mgmt decisions regarding office properties. 6) WM ALLEN SR AND LORA H ALLEN FAMILY CEMETARY TRUST POS: Trustee NATURE: Irrevocable Trust INVESTMENT RELATED: No # OF HOURS: 1 SECURITY TRADING HOURS: 1 START DATE: 1/1/17 ADDY: Danville VA 24540 DESCRIPT: Keep financial & burial records, write checks for any normal expenses for the upkeep of the cemetery. 7) THE CLAIRE PARKER FOUNDATION POS: Board Member NATURE: Helping families effected by pediatric cancer INVESTMENT RELATED: No # OF HRS: 1 SECURITY TRADING HRS: 0 START DATE: 1/1/15 ADDY: Danville VA 24540 DESCRIPT: Prepare tax returns, consult on various financial situations, and serve on the board. 8) GRETNA YOUTH LEAGUE, INC. POS: Treasurer NATURE: Corp INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 2/1/25 ADDY: Gretna VA 24557 DESCRIPT: working as a CPA under Harris, Harvey, Neal & Co (approved OBA) in my capacity as a partner at HHN, not in my capacity as a representative of Osaic. All work for this OBA is done through HHN. accounting and books/records for the org. The org has a separate board of directors and all transactions are reviewed and approved by the board prior to action. I do not have check writing authority, there is another individual that signs checks for the league. 9) MAINSTAY FINANCIAL, LLC POS: Sole Member NATURE: Sales of fixed insurance products and DBA for my investment work through Osaic. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 11/1/16 ADDY: Danville VA 24540 DESCRIPT: Sales of fixed insurance products and DBA for my investment work through Osaic. 10. HARRIS, HARVEY, NEAL & CO., LLP POS: Gen Partner NATURE: Tax/CPA practice. INVESTMENT RELATED: No # OF HRS: 175 SECURITIES TRADING HRS: 175 START DATE: 9/1/21 ADDY: Danville VA 24540 DESCRIPT: Manage client work associated with tax return preparation, tax planning, audits of various entity financial stmts, comp of financial stmts, mgmt of accounting, bookkeeping & payroll - have signature authority on the bank accounts, one of 8 other partners W/signature authority. I am only used as a backup in case no one is available. I normally do not sign checks. 11. HHN BUILDING, LLC POS: Partner - General NATURE: HHN BUILDING LLC OWNS THE REAL ESTATE OF WHICH HARRIS, HARVEY, NEAL & CO (ACCOUNTING FIRM) OPERATES. I HAVE THE SAME OWNERSHIP IN HHN BUILDING AS I DO HHN THE ACCOUNTING FIRM. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 6/1/22 ADDY: DANVILLE VA 24540 DESCRIPT: ASSIST IN MGMT DECISIONS/OFFICE PROPERTIES.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-05-20
  • S63 Uniform Securities Agent State Law Examination
    2016-05-20
Designations

View on SEC IAPD

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