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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2025-07-08 |
| CO | RA | APPROVED | 2018-11-02 |
| MA | RA | APPROVED | 2018-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Merrimack | NH | 06/2016 | 04/2017 |
| Signator Investors Inc | Sudbury | MA | 04/2017 | 11/2018 |
| Osaic Wealth, Inc. | Sudbury | MA | 11/2018 | Present |
GENX FINANCIAL LLC POSITION: Junior Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/01/2021 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: GenX Financial is the LLC that facilitates payroll and benefits for Innovative Financial Group employees SPENCER FINANCIAL, LLC POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 175 SECURITIES TRADING HOURS: 175 START DATE: 04/18/2019 ADDRESS: 327A Boston Post, Sudbury MA 01776, United States DESCRIPTION: I am an employee of Spencer Financial, LLC under advisors Samuel Baldwin and William Spencer, III. I receive a salary for my services and on any sales on securities and insurance. SPENCER FINANCIAL, LLC - FIXED INSURANCE POSITION: Broker NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 06/22/2018 ADDRESS: 327A Boston Post Rd, Sudbury MA 01776, United States DESCRIPTION: Sales/marketing of fixed annuities and non-variable insurance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 2016-07-30 |
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