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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-09-25
PA RA APPROVED 2021-12-06
  • NC RA
    APPROVED
    Since 2024-09-25
  • PA RA
    APPROVED
    Since 2021-12-06

Branch Locations

300 Bridge Street, Phoenixville, PA 19460 • 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
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
  • 02/2015 → 12/2018
    Citadel Fcu
    Exton, PA
  • 08/2016 → 12/2018
    Cuso Financial Services, Lp
    San Diego, CA
  • 12/2018 → 12/2021
    Philadelphia, PA
  • 12/2021 → 08/2023
    Royal Alliance Associates, Inc.
    Phoenixville, PA
  • 08/2023 → Present
    Phoenixville, PA
Previous Registrations
  • 2019-03-12 → 2021-12-08
    Philadelphia, PA
    Philadelphia, PA
    Philadelphia, PA
    Conshohocken, PA
    Philadelphia, PA
    Philadelphia, PA
    Havertown, PA
    Upper Darby, PA
    Springfield, PA
    Havertown, PA
    Holmes, PA
Other Businesses

(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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-11
S63 Uniform Securities Agent State Law Examination 2017-02-08
  • S66 Uniform Combined State Law Examination
    2019-03-11
  • S63 Uniform Securities Agent State Law Examination
    2017-02-08
Designations

View on SEC IAPD

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