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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-14 |
| NJ | RA | APPROVED | 2024-06-14 |
| NY | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America Inc. | Lavista | NE | 04/2010 | 06/2024 |
| Osaic Wealth, Inc. | Amherst | NY | 06/2024 | Present |
| Osaic Wealth, Inc. | Amherst | NY | 06/2024 | Present |
1. LIFE INSURANCE POSITION: Life Broker NATURE: Life Insurance License State of New York INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/03/2010 ADDRESS: 9379 Alexander Road, Alexander NY 14005, United States DESCRIPTION: life insurance license 2. DBA - L&M Wealth Management 3. L&M GROUP LTD. POSITION: Chief Compliance Office NATURE: L&M Group Ltd. - LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 03/15/2010 ADDRESS: 3820 Sheridan Drive, Amherst NY 14226, United States DESCRIPTION: Ensure branch compliance with FINRA rules and regulations - Employee of the Firm L&M Group Ltd. 4.L&M GROUP LTD. POSITION: Compliance Officer NATURE: L&M Group Ltd. LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 03/15/2010 ADDRESS: 3820 Sheridan Drive, Amherst NY 14226, United States DESCRIPTION: Employee of the firm L&M Group
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-10-08 |
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