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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2024-01-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vantage Advisory Services | Cleveland | OH | 11/2012 | 11/2022 |
| Cetera Advisor Networks Llc | El Segundo | CA | 09/2013 | 11/2022 |
| Woodbury Financial Services Inc | Columbus | OH | 11/2022 | 01/2024 |
| Osaic Wealth, Inc. | Columbus | OH | 01/2024 | Present |
1. NAME OF OTHER BUSINESS: WEALTH MANAGEMENT SOLUTIONS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES AND INSURANCE; START DATE: 10/2020; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL/AGENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINRA ARBITRATOR ; START DATE: 04/2019 ; POSITION/TITLE/RELATIONSHIP: FINRA ARBITRATOR ; APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 10 ; BRIEF DESCRIPTION OF DUTIES: SIT ON ARBITRATION PANELS AS INDUSTRY PROFESSIONAL ; 3. WEALTH MANAGEMENT SOLUTIONS POSITION: independent contractor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/30/2012 ADDRESS: 132 B NORTHWOODS BLVD, Columbus OH 43235, United States DESCRIPTION: Independent Insurance agent for non-securities related life, health and LTC insurance products
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2006-04-27 |
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