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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-24 |
| TX | RA | APPROVED_RES | 2025-01-24 |
Branch Locations
31111 Agoura Road Suite 200, Westlake Village, CA 91361-4443 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lincoln Financial Advisors | Westlake Village | CA | 12/2002 | 01/2025 |
| Osaic Wealth, Inc. | Westlake Village | CA | 01/2025 | Present |
1) THOMAS G. MOFFAT POSITION: Agent NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2002 ADDRESS: 31111 Agoura Road, Suite 200, Westlake Village CA 91361, United States DESCRIPTION: Life Insurance Sales 2) THOMAS G. MOFFAT TRUSTEE MOFFAT FAMILY BROTHERS TRUST POSITION: Trustee NATURE: My brother, James K. Moffat, and I are both trustees for four separate family trusts that my mother established for estate planning purposes. My brother handles any day to day activities. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/25/2009 ADDRESS: 470 Madeline Drive, Pasadena CA 91105, United States DESCRIPTION: I assist my brother in the review of the bank statements and income report from the property management firm.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-06 |
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