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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-12-13
  • NY RA
    APPROVED
    Since 2024-12-13

Branch Locations

Melville, NY • United States

101 Commercial Street Suite 400, Plainview, NY 11803 • 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
Axa Advisors, Llc New York NY 03/2019 12/2019
Unemployed Melville NY 05/2018 02/2019
Luther Appliance & Furniture Sales Hauppauge NY 01/2013 05/2018
Equitable Advisors, Llc New York NY 01/2020 08/2021
Penn Mutual Life Insurance Company Horsham PA 08/2021 Present
Hornor, Townsend & Kent, Llc Horsham PA 08/2021 11/2024
Osaic Melville NY 12/2024 Present
  • 03/2019 → 12/2019
    Axa Advisors, Llc
    New York, NY
  • 05/2018 → 02/2019
    Unemployed
    Melville, NY
  • 01/2013 → 05/2018
    Luther Appliance & Furniture Sales
    Hauppauge, NY
  • 01/2020 → 08/2021
    New York, NY
  • 08/2021 → Present
    Penn Mutual Life Insurance Company
    Horsham, PA
  • 08/2021 → 11/2024
    Horsham, PA
  • 12/2024 → Present
    Osaic
    Melville, NY
Previous Registrations
Other Businesses

1) INSURANCE BROKERAGE POSITION: Agent NATURE: DBA-Empire Wealth Strategies INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 8/9/2021 ADDRESS: 2 Park Ave, Suite 300, New York , NY 10016 DESCRIPTION: Sales & Service of/and Life, Accident ,Health/DI/LTC and Annuity accounts for multiple insurance carriers including the Penn Mutual Life Ins Co. 2) CPA/ACCOUNTING SERVICES POSITION: Proprietor/Owner NATURE: Tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 509 Verona Drive, MELVILLE, New York, Melville NY 11747, United States DESCRIPTION: Tax Preparation 3) STRATEGIC INSURANCE POSITION: Financial Advisor NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/01/2022 ADDRESS: 41 Waverly Court, Wading River NY 11792, United States DESCRIPTION: Financial Advisor with access to Health, Disability, Dental, Vison, P&C and general financial assistance solutions

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-04-17
  • S66 Uniform Combined State Law Examination
    2019-04-17
Other Names
  • Michael Mines
  • Michael D Mines

View on SEC IAPD

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