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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-09-01 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc. | Conroe | TX | 05/2016 | 09/2023 |
| Osaic Wealth, Inc. | Conroe | TX | 09/2023 | Present |
1) THORNTON FINANCIAL SERVICES-Marketing Name, DBA POSITION: INSURANCE AGENT NATURE: INSURANCE AGENT INVESTMENT RELATED: YES NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 04/2010 ADDRESS: 3619 W DAVIS ST, CONROE TX 77304 DESCRIPTION: SALES AND SERVICE. 2) THORNTON FINANCIAL SERVICES POSITION: owner NATURE: LIfe and Health Insurance SalesSole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/01/2001 ADDRESS: 3619 W Davis, Conroe TX 77304, United States DESCRIPTION: Meet with clients - discuss needs - make recommendations for insurance coverage 3) CONROE NOON LIONS CLUB POSITION: Membership Services Chair NATURE: Non-Profit service organization INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2025 ADDRESS: 1106 Wilson Road, Conroe TX 77301, United States DESCRIPTION: Reach out to members with special needs/illness or death in family - plan quarterly activity meeting for club 4) HELEN THORNTON POSITION: Insurance Agent NATURE: Insurance Agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2001 ADDRESS: 3619 W Davis, Conroe TX 77304, United States DESCRIPTION: Consult with clients for life and health insurance needs and make recommendations 5) HELEN THORNTON FINANCIAL SERVICES INC, DBA THORNTON FINANCIAL SERVICES POSITION: Owner NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2001 ADDRESS: 3619 W Davis, Conroe TX 77304, United States DESCRIPTION: Administration of the entity This is the entity that I administer the funds from my securities business through
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-15 |
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