Alan Iinuma

Current Employers

Employment History

• 09/2008 → Present
  Independent Capital Management
  Torrance, CA
• 10/2008 → 09/2023
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  Gardena, CA

Previous Registrations

• 2017-06-27 → 2023-09-01
  Osaic Services, Inc.
  Gardena, CA
• 2011-05-24 → 2021-11-10
  Independent Capital Management
  Torrance, CA
  San Diego, CA

Other Businesses

1) LAS VEGAS RENTALS POSITION: Owner NATURE: Other - None INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2007 ADDRESS: 25632 Amberleaf Rd., Torrance CA 90505, United States DESCRIPTION: Las Vegas rentals; Property management company handles maintenance. 2) TRUSTEE;PERSONAL; Trustee; Co-trustee of personal trust. INV RELATED: HRS 0; SEC HRS 0; 10/29/2012; 25632 Amberleaf Rd, Torrance CA 90505 Co-trustee of personal family trust. 3) ESTATE PLANNING UNITED POSITION: Other - Financial Services Specialist NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2010 ADDRESS: 879 W. 190th St., Suite 400, Gardena CA 90248, United States DESCRIPTION: I offer my clients, which are SagePoint clients, asset protection by assisting thefirm ofUnited Wealth Protection Conceptsin Vero Beach,FL with gathering information for the preparation of living trusts or other estate planning. I do not prepare any legal documents, nor give legal advice, nor receive fees for this from clients. However Lovell & Lovell compensate me for my assistance. 4) ICM LENDING/MORTGAGES POSITION: Other - Financial Services Specialist NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 6 START DATE: 01/01/2009 ADDRESS: 879 W. 190th St., Suite 400, Gardena CA 90248, United States DESCRIPTION: I may refer client, which are AIGFA clients, to a mortgage brokerage firm for new purchase and/or refinance when appropriate. I could receive a referral fee from the mortgage brokerage firm when the loan closes and is funded. I am not licensed as a mortgage broker and I will not act as a full-time mortgage broker offering loans directly to AIGFA clients in conjunction with securities offerings. 5) INSURANCE POSITION: Other - Financial Services Specialist NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2008 ADDRESS: 879 W. 190th St., Suite 400, Gardena CA 90248, United States DESCRIPTION: I offer my clients, which areSagePoint clients, asset protection through various types of insurance when appropriate. 6) ICM EMPLOYEE POSITION: Other - Financial Services Specialist NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 09/01/2008 ADDRESS: 879 W. 190th St. suite 400, Gardena CA 90248, United States DESCRIPTION: I am an employee of Independent Capital Management. This will have no direct impact on AIGFA clients. My compensation will vary depending on responsibilities.

Exams

• S66 Uniform Combined State Law Examination
  2011-05-06
• S63 Uniform Securities Agent State Law Examination
  2008-10-06