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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corp | Duluth | GA | 11/2001 | 09/2017 |
| Fsc Securities Corp | Atlanta | GA | 09/2017 | 11/2023 |
| Osaic Wealth, Inc. | Duluth | GA | 11/2023 | Present |
1) W. TROY MATHIS POSITION: Agent/owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2003 ADDRESS: 3505 Koger Blvd., Ste. 172, Duluth GA 30092, United States DESCRIPTION: OFFER FIXED INSURANCE PRODUCTS TO CLIENTS AND PROSPECTS 2) W. TROY MATHIS NOTARY POSITION: Owner / Notary NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2000 ADDRESS: 3505 Koger Blvd., Ste. 172, Duluth GA 30096, United States DESCRIPTION: I have my Notary to Notarize documents for clients. 3) TROY MATHIS POSITION: Receive rental income. NATURE: Rental of an individual office in our suite to a tenant. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2021 ADDRESS: 3505 Koger Blvd, Ste 172, Duluth, GA 30096, Duluth GA 30096, United States DESCRIPTION: I bill and receive income from a shared office agreement.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-08 |
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