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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2024-11-11 |
| NC | RA | APPROVED | 2024-09-05 |
| FL | RA | APPROVED | 2024-09-04 |
| NY | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED_RES | 2024-06-14 |
| WA | RA | APPROVED | 2024-06-14 |
Branch Locations
109 S Union Street Ste 335, Rochester, NY 14607 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corp | Rochester | NY | 06/2011 | 12/2017 |
| Securities America, Inc. | Rochester | NY | 12/2017 | 06/2024 |
| Securities America Advisors | Rochester | NY | 12/2017 | 06/2024 |
| Osaic Wealth, Inc. | Rochester | NY | 06/2024 | Present |
1. GES Wealth Management Inc. Position: President Nature: This is my S corporation to keep track of all my GDC and office expenses. Investment Related: Yes Hours: 5 Securities Trading Hours: 0 Start Date: 03/25/2013 Address: 109 S Union Street Ste 335, Rochester, NY 14607 2. DBA - Plan Service Group 3. INSURANCE RESOURCES POSITION: Sell insurance NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/10/2014 ADDRESS: 109 S. Union St, Ste 335, Rochester NY 14607 DESCRIPTION: Variable only on occasion
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-21 |
| S65 | Uniform Investment Adviser Law Examination | 1999-11-23 |
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