Best Investors Account Sign in
Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2024-01-19
  • WI RA
    APPROVED
    Since 2024-01-19

Branch Locations

1045 N Lynndale Dr Unit 2B, Appleton, WI 54914 • 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
OrganizationCityStateFromTo
Sii Investments, Inc. Appleton WI 03/2014 12/2017
Woodbury Financial Services Inc Appleton WI 12/2017 01/2024
Osaic Wealth, Inc. Appleton WI 01/2024 Present
  • 03/2014 → 12/2017
    Sii Investments, Inc.
    Appleton, WI
  • 12/2017 → 01/2024
    Woodbury Financial Services Inc
    Appleton, WI
  • 01/2024 → Present
    Appleton, WI
Previous Registrations
  • 2017-12-15 → 2024-01-19
    Woodbury Financial Services, Inc.
    Appleton, WI
    Naples, FL
    Appleton, WI
  • 2014-03-05 → 2017-12-15
    Sii Investments, Inc.
    Appleton, WI
    Appleton, WI
  • 2010-04-29 → 2014-03-20
    First Allied Advisory Services, Inc.
    Green Bay, WI
  • 2009-04-23 → 2014-03-10
    Hermening Advisory Services Llc
    Wausau, WI
Other Businesses

1. EVOLUTION WEALTH MANAGEMENT INC. POSITION: President NATURE: Financial Planning/Advisory/Fixed and Variable Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 240 SECURITIES TRADING HOURS: 140 START DATE: 12/02/2009 ADDRESS: 100 W. Lawrence Street, Suite 419, Appleton WI 54911, United States DESCRIPTION: Responsible for day to day activites of owning a business, meeting with prospects/clients, offering fudiciary advise to individues on how to manage and their financies. This includes buying/selling securities, providing fixed/variable life insurance, investment/portfolio review and reccommending changes based on the clients needs and identified risk tolerance. 2. TENACITY ADVISORY GROUP, INC. POSITION: Affiliated Advisor NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2019 ADDRESS: 566 Red Bird Circle, DePere WI 54115, United States DESCRIPTION: Share best practices.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-04-09
S63 Uniform Securities Agent State Law Examination 2008-12-05
  • S65 Uniform Investment Adviser Law Examination
    2009-04-09
  • S63 Uniform Securities Agent State Law Examination
    2008-12-05

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Appleton, WI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor