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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-06-03
  • SC RA
    APPROVED
    Since 2025-06-03

Branch Locations

3535 Grandview Parkway Suite 500, Birmingham, AL 35243 • United States

Lake Wylie, SC • 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
Investacorp Miami FL 06/2020 07/2020
Advisor Group, Inc Leesburg VA 09/2016 03/2025
Securities America, Inc. Birmingham AL 07/2020 03/2025
Securities America Advisors Lake Wylie SC 03/2021 03/2025
Osaic Wealth Birmingham AL 03/2025 Present
  • 06/2020 → 07/2020
    Investacorp
    Miami, FL
  • 09/2016 → 03/2025
    Advisor Group, Inc
    Leesburg, VA
  • 07/2020 → 03/2025
    Securities America, Inc.
    Birmingham, AL
  • 03/2021 → 03/2025
    Securities America Advisors
    Lake Wylie, SC
  • 03/2025 → Present
    Osaic Wealth
    Birmingham, AL
Previous Registrations
  • 2021-03-04 → 2022-12-20
    Securities America Advisors, Inc.
    Lake Wylie, SC
Other Businesses

HIGHLAND CAPITAL BROKERAGE POSITION: Senior Advisor Consultant NATURE: I am a wholesaler of fixed annuity insurance with Highland Capital Brokerage. I recruit financial planners, wealth management professionals, and insurance only agents to work with Highland Capital Brokerage. Highland Capital Brokerage is an Independent Distribution Company that offers Life insurance, Long Term Care, and Fixed annuity insurance products to independent advisors. I work with these producers and make recommendations on how fixed annuity insurance can be implemented within their clients retirement plans. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 0 START DATE: 09/12/2016 ADDRESS: 22 Hummingbird Ct, Lake Wylie SC 29710, United States DESCRIPTION: I am a wholesaler of fixed annuity insurance with Highland Capital Brokerage. I recruit financial planners, wealth management professionals, and insurance only agents to work with Highland Capital Brokerage. Highland Capital Brokerage is an Independent Distribution Company that offers Life insurance, Long Term Care, and Fixed annuity insurance products to independent advisors. I work with these producers and make recommendations on how fixed annuity insurance can be implemented within their clients retirement plan. SECURITIES AMERICA ADVISORS POSITION: Investment Advisor Representative NATURE: Advisory affiliation with Securities America Advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: 12325 Port Grace Blvd, La Vista NE 68128, United States DESCRIPTION: Registration as an IAR with SAA, while continuing my role as a wholesaler of fixed annuity insurance with Highland Capital Brokerage.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-01
S63 Uniform Securities Agent State Law Examination 2020-08-21
  • S65 Uniform Investment Adviser Law Examination
    2021-03-01
  • S63 Uniform Securities Agent State Law Examination
    2020-08-21
Other Names
  • Chris Morgan Knox

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