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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-09-25 |
| PA | RA | APPROVED | 2021-12-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citadel Fcu | Exton | PA | 02/2015 | 12/2018 |
| Cuso Financial Services, Lp | San Diego | CA | 08/2016 | 12/2018 |
| Citizens Securities, Inc. | Philadelphia | PA | 12/2018 | 12/2021 |
| Royal Alliance Associates, Inc. | Phoenixville | PA | 12/2021 | 08/2023 |
| Osaic Wealth, Inc | Phoenixville | PA | 08/2023 | Present |
(1) BALA FINANCIAL GROUP POSITION: Insurance Sales NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 12/05/2021 ADDRESS: 300 Bridge St., Phoenixville PA 19460, United States DESCRIPTION: Market various insurance products to public.. IE - Non variable life and fixed annuity products, disability insurance, Long Term Care Insurance and group health. (2) PHOENIX TAX CONSULTANTS POSITION: Administrative Assistant NATURE: CorporationTax preparation and consulting INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 12/05/2021 ADDRESS: 300 Bridge St., Phoenixville PA 19460, United States DESCRIPTION: Help owner of the firm with gathering information for tax prep and scheduling client meetings
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-08 |
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