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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED | 2024-06-14 |
Branch Locations
602 South Ferguson Ave, Suite 1, Bozeman, MT 59718 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pacific Estate Group | Seattle | WA | 02/1992 | Present |
| Kms Financial Services, Inc. | Seattle | WA | 10/1995 | 11/2020 |
| Securities America, Inc. | Bozeman | MT | 11/2020 | 06/2024 |
| Securities America Advisors, Inc. | Bozeman | MT | 11/2020 | 06/2024 |
| Osaic Wealth, Inc. | Bozeman | MT | 06/2024 | Present |
1. BOZEMAN FINANCIAL ADVISORS -INVESTMENT RELATED - SAME ADDRESS - DBA - OWNER - 6/3/2019 - 0 HRS/MO, 0 HRS/MO DURING TRADING 2. INSURANCE SALES -INVESTMENT RELATED - SAME ADDRESS - INSURANCE - AGENT - 5/1/1991 - 0 HRS/MO, 0 HRS/MO DURING TRADING 3. TANGLEWOOD POSITION: passive investor NATURE: minority interest in a restaurant business INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 730 Boardwalk Ave, Bozeman MT 59718 DESCRIPTION: I am a passive investor in this restaurant. 4. SIDEWINDERS RESTAURANT POSITION: passive investor NATURE: Minority partner in two restaurant businesses. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/02/2018 ADDRESS: 780 Boardwalk Ave, Bozeman MT 59715 DESCRIPTION: I am a passive investor in this business with a 5% interest. 5. HACHI POSITION: limited partner - passive NATURE: limited partner, restaurant INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2021 ADDRESS: 730 Boardwalk Ave, Unit 9,, Bozeman MT 59718, United States DESCRIPTION: I am a 5% limited partner in the restaurant business. I have no other involvement. 6. BOZEMAN REEL COMPANY POSITION: partner NATURE: Partnership INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 2175 Industrial Drive, Bozeman MT 59715, United States DESCRIPTION: I field test fly reels that we manufacture, when I go fly fishing, and provide feedback to Bozeman Reel.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-29 |
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