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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-06-14 |
Branch Locations
1300 Bay Area Blvd #B Ste 150-14, Houston, TX 77058 • United States
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc | Houston | TX | 09/2014 | 06/2024 |
| Securities America Advisors | Houston | TX | 09/2014 | 06/2024 |
| Osaic Wealth, Inc. | Houston | TX | 06/2024 | Present |
| Osaic Wealth, Inc. | Houston | TX | 06/2024 | Present |
1. GAS STATION AND CONVENIENCE STORES POSITION: Owner/Partner NATURE: Partnership with my husband Pankaj Rai INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: 11550 FM 1764, Santa Fe TX 77510, United States DESCRIPTION: I will not be handling the day to day activities of the business. We plan to have employees working for the business once it is up and running. My husband will handle other operations of the business. 2. INSURANCE POSITION: Financial Advisor and Insurance Agent NATURE: Life and Health Insurance sales and service. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 09/03/2014 ADDRESS: 1300 Bay Area Blvd., Suite B150-14, Houston TX 77058, United States DESCRIPTION: Life and Health Insurance and Indexed annuities needs analysis and sales
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 2009-09-02 |
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