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Current Employers
Universal Wealth Management Llc

15331 W Bell Road Ste 318, Surprise, AZ 85374 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-06-12
  • AZ RA
    APPROVED
    Since 2025-06-12

Branch Locations

15331 W Bell Road Ste 318, Surprise, AZ 85374 • 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
Foresters Financial Services Inc Phoenix AZ 07/2016 01/2017
Foresters Financial Services Phoenix AZ 01/2017 02/2019
Foresters Advisory Services Llc Phoenix AZ 12/2017 02/2019
The Prudential Insurance Company Of America Phoenix AZ 02/2019 09/2019
Pruco Securities Llc Phoenix AZ 02/2019 09/2019
American General Life Insurance Woodland Hills CA 10/2019 05/2022
Aig Capital Services, Inc. Woodland Hills CA 10/2019 05/2022
Ams Baton Rouge LA 05/2022 11/2024
Rma Capital Llc Scottsdale AZ 07/2021 Present
The Leaders Group Inc Littleton CO 06/2022 Present
Universal Wealth Management Llc Surprise AZ 03/2025 Present
  • 07/2016 → 01/2017
    Foresters Financial Services Inc
    Phoenix, AZ
  • 01/2017 → 02/2019
    Foresters Financial Services
    Phoenix, AZ
  • 12/2017 → 02/2019
    Foresters Advisory Services Llc
    Phoenix, AZ
  • 02/2019 → 09/2019
    The Prudential Insurance Company Of America
    Phoenix, AZ
  • 02/2019 → 09/2019
    Phoenix, AZ
  • 10/2019 → 05/2022
    American General Life Insurance
    Woodland Hills, CA
  • 10/2019 → 05/2022
    Aig Capital Services, Inc.
    Woodland Hills, CA
  • 05/2022 → 11/2024
    Ams
    Baton Rouge, LA
  • 07/2021 → Present
    Rma Capital Llc
    Scottsdale, AZ
  • 06/2022 → Present
    The Leaders Group Inc
    Littleton, CO
  • 03/2025 → Present
    Surprise, AZ
Previous Registrations
  • 2019-05-22 → 2019-09-05
    Phoenix, AZ
  • 2017-12-15 → 2019-02-08
    Foresters Advisory Services, Llc
    Phoenix, AZ
Other Businesses

1.) ANNUITY MARKETING SERVICES - 5/16/2022 - 1700 City Farm Drive, Suite B, Baton Rouge, LA 70806 - Regional VP, Regional Sales, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) RMA CAPITAL LLC - 7/12/2021 - 10438 E Acoma Drive, Scottsdale, AZ 85255 - Investor, Invested in company that sells products on Amazon, Not Invt Rel, Ecom business, 0 hrs/mo; 0 hrs/mo (during trading hours).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-05-19
S63 Uniform Securities Agent State Law Examination 2016-08-11
  • S65 Uniform Investment Adviser Law Examination
    2025-05-19
  • S63 Uniform Securities Agent State Law Examination
    2016-08-11

View on SEC IAPD

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