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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2021-05-21 |
| CA | RA | APPROVED | 2018-11-02 |
| TX | RA | APPROVED | 2018-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hemphill County Soil And Water | Canadian | TX | 10/2015 | Present |
| Signator Investors, Inc. | Canadian | TX | 05/2016 | 11/2018 |
| Osaic Wealth, Inc. | Canadian | TX | 11/2018 | Present |
1) MOORE FAMILY FARMS, INC POSITION: Treasurer NATURE: Family owned farm/ranch operation. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 25 START DATE: 10/19/2010 ADDRESS: 16399 Highway 33, Canadian TX 79014, United States DESCRIPTION: Treasurer for my families farm/ranch. Duties include accounting and payroll functions. 2) CANADIAN ROTARY CLUB POSITION: Board Member/Bookkeeper NATURE: Corporation--Rotary Club I am a board member and current bookkeeper. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/01/2015 ADDRESS: PO Box 558, Canadian TX 79014, United States DESCRIPTION: Accounting and administrative duties for the management of the club. 3) H&H EQUINE POSITION: Treasurer/Owner NATURE: Partnership 50% partner with family member to manage quarter horse breeding operation. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2010 ADDRESS: 10400 County Road 23, Canadian TX 79014, United States DESCRIPTION: Treasurer and help with management of horse herd. 4) HEMPHILL CO SOIL & WATER CONSERVATION POSITION: Board Member NATURE: Government agency INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2008 ADDRESS: 816 2nd Street, Canadian TX 79014, United States DESCRIPTION: Advisory board that works with NRCS employee to manage groundwater in Hemphill county. Meets monthly. 5) SELLING ODD AND ENDS ON EBAY POSITION: Owner NATURE: Sole Proprietor INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: 10400 County Road 23, Canadian TX 79014, United States DESCRIPTION: Selling used items on ebay. 6) SHERI HENSLEY INSURANCE POSITION: Owner NATURE: sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/01/2010 ADDRESS: 10400 County Road 23, Canadian TX 79014, United States DESCRIPTION: Selling crop insurance to area farmers and ranchers. 7) MOORE FINANCIAL MANAGEMENT POSITION: owner NATURE: This is the DBA for my financial planning practice. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/02/2005 ADDRESS: 10400 County Road 23, Canadian TX 79014, United States DESCRIPTION: Financial Planning practice helping clients meet financial goals. 8) BACK TO THE GARDEN, INC POSITION: Owner NATURE: 501c3 Corporation. Retreat center for religious purposes. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 05/01/2003 ADDRESS: 10400 County Road 23, Canadian TX 79014, United States DESCRIPTION: Provide location and hospitality services for retreat participants. 9) MOORE KIDS, LLC POSITION: Treasurer/Owner NATURE: Family owned LLC for investment opportunities. Am part owner and the treasurer.. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/19/2010 ADDRESS: 10400 County Road 23, Canadian TX 79014, United States DESCRIPTION: Owner and accountant/treasurer for the LLC. 10) SHERI LYNN HENSLEY POSITION: Manager NATURE: LLC--Bailey Premier Publishing INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 07/15/2024 ADDRESS: 313 Main, PMB 326, Canadian TX 79014, United States DESCRIPTION: Creating ebooks or audio books and publishing them on Amazon for sale.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 1990-12-04 |
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