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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-01-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Investments, Llc | New Berlin | WI | 09/2011 | 04/2023 |
| Woodbury Financial Services Inc | Fond Du Lac | WI | 04/2023 | 01/2024 |
| Osaic Wealth, Inc. | Fond Du Lac | WI | 01/2024 | Present |
1. WAYPOINT FINANCIAL SOLUTIONS, INC. POSITION: Registered Rep/ IAR NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 96 SECURITIES TRADING HOURS: 72 START DATE: 04/17/2023 ADDRESS: 109 East Badger Street, Waupaca WI 54981, United States DESCRIPTION: Financial advisory services, client advisement and services. 2. PETER QUEHL POSITION: Insurance Sales NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/17/2023 ADDRESS: 879 Forest Ave, Fond du Lac WI 54935, United States DESCRIPTION: Insurance Sales 3. TENACITY ADVISOR GROUP POSITION: Affiliated Advisor NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/14/2023 ADDRESS: 566 Red Bird Circle, DePere WI 54115, United States DESCRIPTION: Share Best Practices 4. COMPASS ROSE INVESTMENTS, LLC POSITION: Member NATURE: This is the business management company for the Waypoint Financial Solutions book of business in the Fond du Lac, WI market. INVESTMENT RELATED: Yes NUMBER OF HOURS: 96 SECURITIES TRADING HOURS: 78 START DATE: 04/17/2023 ADDRESS: 879 Forest Ave., Fond du Lac WI 54935, United States DESCRIPTION: Operation management of this branch location.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-12 |
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