Roxanne Marie Jones

Current Employers

Employment History

• 03/2012 → 09/2023
  Sagepoint Financial
  Ontario, CA
• 03/2012 → Present
  Independent Capital Management
  Ontario, CA
• 09/2023 → Present
  Osaic Wealth, Inc.
  Ontario, CA

Previous Registrations

• 2015-08-18 → 2023-09-01
  Osaic Services, Inc.
  Ontario, CA
• 2012-07-10 → 2014-07-09
  Independent Capital Management
  San Diego, CA
• 2007-08-24 → 2012-11-21
  Thompson Wealth Management, Inc.
  Culver City, CA

Other Businesses

1) CAMILLE RUSSELL WOODEN MINISTRIES POSITION: Treasurer - NATURE: Non-Profit - INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2001 ADDRESS: 234 N Shadydale Avenue, West Covina CA 91790, United States DESCRIPTION: Keep records of all financial transactions, prepare monthly and annual financial reports. I do not handle any cash or check transactions. 2) INDEPENDENT CAPITAL MANAGEMENT POSITION: Statutory Agent - NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/12/2012 ADDRESS: 4141 Inland Empire Blvd, Ste.301, Ontario CA 91764, United States DESCRIPTION: Refer clients to a mortgage brokerage firm for new purchases and/or refinances when appropriate 3) INDEPENDENT CAPITAL MANAGEMENT POSITION: Statutory Agent NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 03/20/2012 ADDRESS: 4141 Inland Empire Blvd, Ste. 301, Ontario CA 91764, United States DESCRIPTION: Trust related services are performed by a representative that is licensed as a Paralegal with United Wealth Protection Concepts and Citadel Law Offices. As a Paralegal we gather information required by the attorneys during the preliminary state for the development of a trust. 4) INDEPENDENT CAPITAL MANAGEMENT POSITION: Other - Employee NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 03/01/2012 ADDRESS: 4141 Inland Empire Blvd., Ste.301, Ontario CA 91764, United States DESCRIPTION: n/a 5) INDEPENDENT CAPITAL MANAGEMENT INSURANCE AGENCY POSITION: Agent NATURE: Insurance Agency INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 03/08/2012 ADDRESS: 695 Town Center Drive, Ste. 530, Costa Mesa CA 92626, United States DESCRIPTION: Insurance Agent with the state of CA. I suggest life insurance products to clients who may also be securities clients.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-06-25
• S63 Uniform Securities Agent State Law Examination
  1994-01-04