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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-09-30 |
| IN | RA | APPROVED | 2023-09-01 |
| KY | RA | APPROVED | 2023-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Next Financial Group Inc | Brodhead | KY | 01/2006 | 08/2018 |
| Sagepoint Financial, Inc | Brodhead | KY | 08/2018 | 09/2023 |
| Osaic Wealth, Inc. | Brodhead | KY | 09/2023 | Present |
1) MATTHEW COX POSITION: agent NATURE: Insurance - fixed annuities; Life/health; long-term care INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 8 START DATE: L01/30/2006 ADDRESS: 441 Ottawa School Rd., Brodhead KY 40409, United States DESCRIPTION: Provide insurance for clients that need Life/health or LTC policies 2) Rockcastle Wealth Management Position: Owner Nature: investment stock, bonds, mutual funds ETFs. Investment related: yes, my income from Sagepoint will flow through this company. Number of hours: security trading house , 40 hours a week. Start date 1/1/2022. 441 Ottawa School Rd. Brodhead, KY 40409, United states Description: provide investment services for clients. 3) ROCKCASTLE WEALTH MANAGEMENT LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 441 Ottawa School rd, Brodhead KY 40409, United States DESCRIPTION: Entity for tax and payroll
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-18 |
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