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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-01-24 |
Branch Locations
3217 Summit Square Place Suite 200, Lexington, KY 40509 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 08/2019 | 08/2020 |
| Mountain Home Stove And Fireplace | Steamboat Springs | CO | 06/2017 | 08/2019 |
| Steamboat Resort | Steamboat Springs | CO | 11/2016 | 03/2017 |
| One Stop Ski Shop | Steamboat Springs | CO | 11/2016 | 04/2017 |
| Island Time Watersports | St. Thomas | VI | 06/2015 | 12/2016 |
| Housewarmings | Lexington | KY | 08/2020 | 11/2020 |
| Lincoln Financial Securities Corporation | Lexington | KY | 12/2020 | 01/2025 |
| Osaic Wealth, Inc. | Lexington | KY | 01/2025 | Present |
1) THOROUGHBRED FINANCIAL AGENCY 3217 SUMMIT SQUARE PLACE, SUITE 200 LEXINGTON, KY 40509 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERS TRADITIONAL LIFE INSURANCE AND FIXED ANNUITIES START DATE: 12/2020 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 1 2) CANTRELL HOME SERVICES NICHOLASVILLE, KY CATEGORY: SERVICE INDUSTRY INVESTMENT-RELATED: NO TITLE: OWNER DUTIES: OFFER HANDYMAN SERVICES AND LLC HOLDS RENTAL PROPERTY START DATE: 06/2021 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 0 3) THOROUGHBRED FINANCIAL POSITION: Employee NATURE: OSJ/LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/04/2020 ADDRESS: 3217 Summit Square, #200, Lexington KY 40509, United States DESCRIPTION: work with advisors on their business 4) FRIENDS OF MUIR VALLEY POSITION: Board Member NATURE: Non profit INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 48 Muir Rd, Rogers KY 41365, United States DESCRIPTION: help make decisions on how to operate the climbing area in a sustainable manner
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-12 |
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