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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2023-09-01 |
| AR | RA | APPROVED | 2023-09-01 |
| CA | RA | APPROVED | 2023-09-01 |
| CO | RA | APPROVED | 2023-09-01 |
| CT | RA | APPROVED | 2023-09-01 |
| DC | RA | APPROVED | 2023-09-01 |
| FL | RA | APPROVED | 2023-09-01 |
| GA | RA | APPROVED | 2023-09-01 |
| HI | RA | APPROVED | 2023-09-01 |
| ID | RA | APPROVED | 2023-09-01 |
| IL | RA | APPROVED | 2023-09-01 |
| IN | RA | APPROVED | 2023-09-01 |
| IA | RA | APPROVED | 2023-09-01 |
| KS | RA | APPROVED | 2023-09-01 |
| KY | RA | APPROVED | 2023-09-01 |
| LA | RA | APPROVED | 2023-09-01 |
| MI | RA | APPROVED | 2023-09-01 |
| MN | RA | APPROVED | 2023-09-01 |
| MO | RA | APPROVED | 2023-09-01 |
| MT | RA | APPROVED | 2023-09-01 |
| NE | RA | APPROVED | 2023-09-01 |
| NV | RA | APPROVED | 2023-09-01 |
| NJ | RA | APPROVED | 2023-09-01 |
| NM | RA | APPROVED | 2023-09-01 |
| NC | RA | APPROVED | 2023-09-01 |
| ND | RA | APPROVED | 2023-09-01 |
| OH | RA | APPROVED | 2023-09-01 |
| OK | RA | APPROVED | 2023-09-01 |
| PA | RA | APPROVED | 2023-09-01 |
| SC | RA | APPROVED | 2023-09-01 |
| TX | RA | APPROVED | 2023-09-01 |
| VA | RA | APPROVED | 2023-09-01 |
| WA | RA | APPROVED | 2023-09-01 |
| WI | RA | APPROVED | 2023-09-01 |
Branch Locations
3838 N Sam Houston Pkwy Suite 150, Houston, TX 77032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pre-Emptive Financial Services Inc | Houston | TX | 04/2002 | Present |
| Sagepoint Financial, Inc. | Houston | TX | 05/2016 | 09/2023 |
| Osaic Wealth, Inc. | Houston | TX | 09/2023 | Present |
1) PRE-EMPTIVE FINANCIAL SERVICES, INC POSITION: Agent NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 01/01/1994 ADDRESS: 3838 N Sam Houston Pkwy, I, Suite 150, Houston TX 77032, United States DESCRIPTION: Insurance agent for health, life, disability, long term care.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-17 |
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