William John Finnegan

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-11-02

CA RA
APPROVED

Since 2018-11-02

Branch Locations

3703 Mt Diablo Blvd, Lafayette, CA 94549 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Double Diamond Financial	Oceanside	CA	01/2004	Present
Sii	Lafayette	CA	03/2016	11/2018
Royal Alliance Associates, Inc.	Lafayette	CA	11/2018	Present

01/2004 → Present

Double Diamond Financial

Oceanside, CA
03/2016 → 11/2018

Sii

Lafayette, CA
11/2018 → Present

Royal Alliance Associates, Inc.

Lafayette, CA

Previous Registrations

2016-03-14 → 2018-11-02

Signator Investors, Inc.

Honolulu, HI

Oceanside, CA

Oceanside, CA

Lafayette, CA
2004-02-05 → 2016-03-11

Next Financial Group, Inc.

Oceanside, CA

Oceanside, CA
2003-08-18 → 2004-01-22

Coinbase Capital Markets Corp

Del Mar, CA
2002-06-10 → 2003-09-08

Osaic Fs, Inc.

Del Mar, CA

Other Businesses

1. Insurance Broker: Life, Annuities, LTC, DI, 2. PACIFIC FINANCIAL PARTNERS POSITION: Financial Advisor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2019 ADDRESS: 3703 Mt. Diablo Blvd, Lafayette CA 94549, United States DESCRIPTION: Financial Advisers 3. HEALTH INSURANCE POSITION: Insurance sales NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2019 ADDRESS: 611 Leonard Ave, Oceanside CA 92054, United States DESCRIPTION: health insurance, life insurance, disability insurance 4. OCEANSIDE SCHOOLS BASKETBALL COACH POSITION: Assistant Boys basketball Coach NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 11/09/2024 ADDRESS: 1 Pirate Cove, Oceanside CA 92057, United States DESCRIPTION: Assist the varsity boys' coach. We work with high school boys in developing their skills. There is no fundraising involved. 5. PACIFIC FINANCIAL PARTNERS POSITION: Financial Advisor NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2019 ADDRESS: 3703 Mt. Diablo Blvd, Lafayette CA 94549, United States DESCRIPTION: Financial Advisers

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-05-10
S63	Uniform Securities Agent State Law Examination	1999-08-27

S65 Uniform Investment Adviser Law Examination

2002-05-10
S63 Uniform Securities Agent State Law Examination

1999-08-27

View on SEC IAPD