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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-14 |
| NC | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mutual/United Of Omaha Insurance Company | Raleigh | NC | 09/1994 | 01/2021 |
| Mutual Of Omaha Investor Services, Inc. | Wilmington | NC | 09/1994 | 01/2021 |
| Securities America, Inc. | Raleigh | NC | 01/2021 | 06/2024 |
| Securities America Advisors | Raleigh | NC | 01/2021 | 06/2024 |
| Osaic Wealth, Inc. | Raleigh | NC | 06/2024 | Present |
| Osaic Wealth, Inc. | Raleigh | NC | 06/2024 | Present |
**SAA POSITION: IAR NATURE: advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 128 SECURITIES TRADING HOURS: 128 START DATE: 10/15/2020 ADDRESS: ECN Legacy Advisors, 1500 Sunday Drive, Ste 105, Raleigh NC 27607, United States DESCRIPTION: advisory **INSURANCE POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 32 START DATE: 10/15/2020 ADDRESS: 1500 Sunday Dr Ste 105, Raleigh NC 27607, United States DESCRIPTION: insurance **DBA - ECN Legacy Advisors
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-30 |
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