James Anthony Spina

Current Employers

Employment History

• 12/1989 → 01/2024
  Fortis Investors, Inc./ Woodbury Financial Services, Inc
  St. Paul, MN
• 01/2024 → Present
  Osaic Wealth, Inc.
  Costa Mesa, CA

Previous Registrations

• 2000-06-30 → 2024-01-19
  Woodbury Financial Services, Inc.
  Alhambra, CA
  Costa Mesa, CA
  Costa Mesa, CA
  Alhambra, CA
• 2009-09-09 → 2013-12-21
  Gamble Jones Investment Counsel
  Pasadena, CA

Other Businesses

1) SPINA FINANCIAL SERVICES POSITION: agent NATURE: Traditional life insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2003 ADDRESS: 3070 Bristol St., Suite 500, Costa Mesa CA 92626, United States DESCRIPTION: selling traditional life insurance (mainly term) upon request from a client or referral 2) TUESDAY COWS, LLC POSITION: Member NATURE: Family owned LLC for our investment real estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2008 ADDRESS: 28 Via Corsica, Dana Point CA 92629, United States DESCRIPTION: My wife and I own apartments on Los Alamitos, CA. The apartments are owned by our LLC to protect of our personal assets. 3) CJC GREEN, LLC POSITION: Member NATURE: Family owned LLC for our investment real estate INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2025 ADDRESS: 28 Via Corsica, Dana Point CA 92629, United States DESCRIPTION: My wife and I own apartments in Los Alamitos, CA. The apartments are owned by this LLC to protect our other personal assets from liability. 4) CJO GREEN, LLC POSITION: Member NATURE: Family owned LLC for our investment real estate INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2025 ADDRESS: 28 Via Corsica, Dana Point CA 92629, United States DESCRIPTION: My wife and I own apartments in Los Alamitos, CA. The apartments are owned by this LLC to protect our other personal assets from liability. 5) ARTS FOR ALL POSITION: volunteer Board Member NATURE: Non Profit organization helping underserved youth with access to music lessons and recitals INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/04/2025 ADDRESS: 24699 Del Prado, Dana Point CA 92629, United States DESCRIPTION: My role is to provide counsel, advice, business experience & life experience to the two individuals who run the non profit. I will also ask questions to cross check strategy within the non profit. Lastly, I will attend events and from time to time donate to the organization. 6) EL AGUA BENDITA, LLC POSITION: LLC Member NATURE: LLC will hold (already approved) private security shares of SouthNorte Brands, Inc. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/20/2026 ADDRESS: 28 Via Corsica, Dana Point CA 92629, United States DESCRIPTION: I will be one of three Members in the LLC and the sole purpose of this LLC is to invest in & hold shares of SouthNorte Brands, Inc.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-03-21
• S63 Uniform Securities Agent State Law Examination
  1990-10-24