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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-06-08 |
| PA | RA | APPROVED | 2023-04-26 |
| SC | RA | APPROVED | 2022-05-11 |
| NY | RA | APPROVED | 2021-04-10 |
| TX | RA | APPROVED_RES | 2019-09-04 |
| NJ | RA | APPROVED | 2017-09-21 |
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 |
|---|---|---|---|---|
| Osaic Wealth, Inc. | Huntington | NY | 02/2013 | Present |
| D/B/A Shelter Rock Financial Group | Jericho | NY | 06/2013 | Present |
1. BUSINESS NAME: Osaic Wealth INVESTMENT RELATED: YES ADDRESS: 410 E. JERICHO TURNPIKE MINEOLA, NY, 11501 POSITION: STATUTORY AGENT START DATE: 02/08/2013 HOURS: 10 SECURITY HOURS: 0 BRIEF DESCRIPTION OF DUTIES: LIFE INSURANCE 2. OLIVER KIM POSITION: Statutory Agent - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/08/2013 ADDRESS: 410 E Jericho Tpke, Mineola NY 11501, United States DESCRIPTION: Life insurance 3. D/B/A SHELTER ROCK FINANCIAL GROUPWE WILL BE CONDUCTING OUR APPROVED INVESTMENT SERVICES AND LIFE AND FIXED ANNUITY INSURANCE THROUGH OSAIC WEALTH UNDER THE NAME SHELTER ROCK FINANCIAL GROUP. POSITION: Partner - NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2013 ADDRESS: 410 E Jericho Tpke, Mineola NY 11501, United States DESCRIPTION: Financial advisor.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-07-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-01 |
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