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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2005-02-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Thomas A. Johns, Cpa | Kittery | ME | 10/1999 | Present |
| Osaic Wealth, Inc. | Kittery | ME | 04/2000 | Present |
1. DBA THOMAS A. JOHNS POSITION: Owner - NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/30/1999 ADDRESS: 14 Dame St, Kittery ME 03904, United States DESCRIPTION: Preparation of tax returns and financial statements. 2. INSURANCE POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/29/2008 ADDRESS: 14 Dame St, PO Box 707, Kittery ME 03904, United States DESCRIPTION: The only sales I make with my insurance license are placed through Osaic Wealth as of now, which are exclusively Variable Annuities that my clients are Dollar Cost Averaging into.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-02 |
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