Joseph D Fokken

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
SD	RA	APPROVED	2024-06-14

SD RA
APPROVED

Since 2024-06-14

Branch Locations

Sioux Falls, SD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Mutual Of Omaha	Sioux Falls	SD	10/2006	11/2022
Securities America, Inc.	Sioux Falls	SD	03/2023	06/2024
Securities America Advisors	Sioux Falls	SD	03/2023	06/2024
Futurity First Insurance Group	Omaha	NE	11/2022	Present
Osaic Wealth, Inc.	Sioux Falls	SD	06/2024	Present

10/2006 → 11/2022

Mutual Of Omaha

Sioux Falls, SD
03/2023 → 06/2024

Securities America, Inc.

Sioux Falls, SD
03/2023 → 06/2024

Securities America Advisors

Sioux Falls, SD
11/2022 → Present

Futurity First Insurance Group

Omaha, NE
06/2024 → Present

Osaic Wealth, Inc.

Sioux Falls, SD

Previous Registrations

2023-03-22 → 2024-06-14

Securities America Advisors, Inc.

Sioux Falls, SD
2018-02-13 → 2022-11-30

Mutual Of Omaha Investor Services, Inc.

Brandon, SD

Other Businesses

***FUTURITY FIRST INSURANCE GROUP POSITION: General Sales Manager NATURE: Insurance sales and production INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 11/28/2022 ADDRESS: 17117 Oak Drive, Ste. A, Omaha NE 68130 DESCRIPTION: Life and health insurance sales, recruitment and training of other producers

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-02-09
S63	Uniform Securities Agent State Law Examination	2009-08-27

S65 Uniform Investment Adviser Law Examination

2018-02-09
S63 Uniform Securities Agent State Law Examination

2009-08-27

View on SEC IAPD