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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-06-14 |
| NY | RA | APPROVED | 2024-06-14 |
Branch Locations
359 N. Washington Street, Rochester, NY 14625 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wall Street Financial Group | Rochester | NY | 08/2008 | 09/2016 |
| Securities America, Inc. | Rochester | NY | 09/2016 | 06/2024 |
| Securities America Advisors, Inc. | Rochester | NY | 09/2016 | 06/2024 |
| Osaic Wealth, Inc. | Rochester | NY | 06/2024 | Present |
| Osaic Wealth, Inc. | Rochester | NY | 06/2024 | Present |
1. Securities America Advisors - Position: IAR - Nature: Investment Advisory Services - Investment Related: Yes - Start Date: 9/2016 - Address: 800 Linden Avenue, Rochester NY 14625 2. HFS FINANCIAL SERVICES POSITION: sales NATURE: I do insurance sales of Life Insurance, Long Term Care, Disability Insurance, and fixed annuities. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 15 START DATE: 12/02/2004 ADDRESS: 359 N. Washington Street, Rochester NY 14625, United States DESCRIPTION: Sales of insurance products. 3. ROCDOG POSITION: Volunteer with my dog NATURE: Taking certified therapy dog into the community for visits. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 07/07/2023 ADDRESS: 321 Wood Road, Rochester NY 14626, United States DESCRIPTION: Taking my certified therapy dog to places that have signed up to have rocdog come and visit them in the community.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-17 |
| S65 | Uniform Investment Adviser Law Examination | 1997-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-24 |
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