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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 | 2024-09-05 |
| OK | RA | APPROVED | 2023-11-03 |
Branch Locations
3636 North Roff Avenue, Oklahoma City, OK 73112 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equitable Financial Life Insurance Co | Austin | TX | 09/2016 | 02/2021 |
| Equitable Advisors, Llc | Austin | TX | 05/2016 | 02/2021 |
| Jpmorgan Chase Bank, N.A. | Fort Worth | TX | 03/2021 | 03/2022 |
| J.P. Morgan Securities Llc | Fort Worth | TX | 03/2021 | 03/2022 |
| Fsc Securities Corporation | Oklahoma City | OK | 03/2022 | 11/2023 |
| Osaic Wealth, Inc. | Oklahoma City | OK | 11/2023 | Present |
1) CAPITAL ASSET MANAGEMENT, INC. POSITION: Wealth Manager NATURE: This is the DBA entity for our investment practice with FSC Securities Corporation. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/15/2022 ADDRESS: 3636 North Roff Avenue, Oklahoma City OK 73112, United States DESCRIPTION: This is the DBA entity for our investment practice with FSC Securities Corporation. All advisory and investment duties performed for FSC are done under the Capital Asset Management DBA. 2) SPIRIT OF THE WEST FINANCIAL CORPORATION POSITION: Wealth Manager NATURE: This is the operating company (payroll, utilities...etc.) for investment practice. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/15/2022 ADDRESS: 3636 North Roff Avenue, Oklahoma City OK 73112, United States DESCRIPTION: This is the operating company (payroll, utilities...etc.) for investment practice. All advisory and investment duties performed are compensated through this entity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-18 |
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