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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2024-03-07 |
| TX | RA | APPROVED_RES | 2024-03-04 |
| AL | RA | APPROVED | 2024-02-29 |
| CO | RA | APPROVED | 2024-02-29 |
| CA | RA | APPROVED | 2013-04-12 |
| AK | RA | APPROVED | 2012-01-20 |
| WA | RA | APPROVED | 2012-01-19 |
| FL | RA | APPROVED | 2011-12-09 |
| MT | RA | APPROVED | 2002-12-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | Butte | MT | 11/1994 | Present |
1. SUMMIT FINANCIAL ADVISORS POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/1994 ADDRESS: 129 W. Park St., Suite 303, Butte MT 59701, United States DESCRIPTION: Find appropriate life insurance policies for client's who request the service. I do not actively solicit insurance business. 2. THOMPSON WEALTH MANAGEMENT, P.C. POSITION: President NATURE: Corporation, Sub Chapter S Corporation, Professional Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2016 ADDRESS: 129 W. Park St., Suite 303, Butte MT 59701, United States DESCRIPTION: I set up this sub Chapter S Professional Corporation to help minimize taxes, help with payroll and accounting. The only purporse of this is to run business expenses through the Professional Corporation. My duties include paying bills, managing the expenses, report to accountant quarterly on wages, etc. This business will not be marketed to the public. It's only purpose is to help minimize taxes. Because this is a Sub Chapter S Professional Corporation, all income will flow into the entity and then back out through wages, dividends and expenses. 3. CPK LLC POSITION: Member NATURE: This is an LLC that was formed to own the building that we currently rent in and lease out the additional space to other businesses. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2021 ADDRESS: 129 W. Park St., Butte MT 59701, United States DESCRIPTION: Change light bulbs, light fixtures, general maintenance and upkeep. 4. MCGUINNESS TRACTS HOA POSITION: Board Member NATURE: This is a homeowner's association. I would serve on the board. It is not securities related and I would spend approximately 1 to 2 hours a month serving on the board, not during normal working hours. No compensation and the HOA is basically dissolved so they do not collect any monthly fees from people of McGuinness Tracts, only special once in a while allocations. I would serve as a board member, not an officer of the HOA. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/24/2025 ADDRESS: 2535 Apex Lane, Butte MT 59701, United States DESCRIPTION: Voting on issues presented to the board, such as special assessments to members to improve roadways, provide better fire protection, etc.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-08 |
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