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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-11-02
  • CA RA
    APPROVED
    Since 2018-11-02

Branch Locations

7110 N Fresno Street Suite 120, Fresno, CA 93720 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Pillar Financial Group Fresno CA 07/2013 Present
Sagepoint Financial Fresno CA 03/2014 03/2017
Sii Nashville TN 03/2017 11/2018
Osaic Wealth, Inc. Fresno CA 11/2018 Present
  • 07/2013 → Present
    Pillar Financial Group
    Fresno, CA
  • 03/2014 → 03/2017
    Sagepoint Financial
    Fresno, CA
  • 03/2017 → 11/2018
    Sii
    Nashville, TN
  • 11/2018 → Present
    Fresno, CA
Previous Registrations
  • 2017-03-10 → 2018-11-02
    Signator Investors, Inc.
    Gold River, CA
    Fresno, CA
    Nashville, TN
  • 2014-07-21 → 2017-03-09
    Osaic Services, Inc.
    Fresno, CA
  • 2005-06-07 → 2008-07-02
    Wells Fargo Investments, Llc
    Clovis, CA
    Fresno, CA
    Turlock, CA
    Turlock, CA
    Fresno, CA
  • 2004-05-24 → 2005-03-02
    Morgan Stanley Dw Inc.
    Fresno, CA
Other Businesses

1) FERGUSON FAMILY TRUST POSITION: Successor Trustee NATURE: Family Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/15/2017 ADDRESS: 1340 E Fallbrook Ave, Fresno CA 93720, United States DESCRIPTION: No duties currently. Listed as successor trustee of Ferguson Trust which is my Mother-in-Law. 2) PILLAR FINANCIAL GROUP LLC/FIXED INSURANCE POSITION: Broker NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 12/15/2023 ADDRESS: 7110 N Fresno St, Ste 120, Fresno CA 93720, United States DESCRIPTION: Sales/marketing of fixed annuities and non-variable insurance. 3) PILLAR FINANCIAL GROUP LLC POSITION: Investment Advisor Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/15/2023 ADDRESS: 7110 N Fresno St, Ste 120, Fresno CA 93720, United States DESCRIPTION: Sales/marketing of securities, investment advisory and insurance products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-29
S63 Uniform Securities Agent State Law Examination 1995-10-13
  • S66 Uniform Combined State Law Examination
    2004-04-29
  • S63 Uniform Securities Agent State Law Examination
    1995-10-13
Other Names
  • Mike W. Funk

View on SEC IAPD

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