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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-09-05
OK RA APPROVED 2023-11-03
  • TX RA
    APPROVED_RES
    Since 2024-09-05
  • OK RA
    APPROVED
    Since 2023-11-03

Branch Locations

3636 North Roff Avenue, Oklahoma City, OK 73112 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 09/2016 → 02/2021
    Equitable Financial Life Insurance Co
    Austin, TX
  • 05/2016 → 02/2021
    Austin, TX
  • 03/2021 → 03/2022
    Jpmorgan Chase Bank, N.A.
    Fort Worth, TX
  • 03/2021 → 03/2022
    Fort Worth, TX
  • 03/2022 → 11/2023
    Fsc Securities Corporation
    Oklahoma City, OK
  • 11/2023 → Present
    Oklahoma City, OK
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-06-26
S63 Uniform Securities Agent State Law Examination 2017-02-18
  • S65 Uniform Investment Adviser Law Examination
    2019-06-26
  • S63 Uniform Securities Agent State Law Examination
    2017-02-18
Other Names
  • Cameron Broderick
  • Cameron Riley Broderick

View on SEC IAPD

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