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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-30 |
| CA | RA | APPROVED | 2023-09-01 |
| FL | RA | APPROVED | 2023-09-01 |
| NV | RA | APPROVED | 2023-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial ,Inc | San Francisco | CA | 01/2009 | 09/2023 |
| Osaic Wealth, Inc. | San Francisco | CA | 09/2023 | Present |
1. INSURANCE; NO; 2655 POLK ST #403 SAN FRANCISCO, CA 94109; AGENT; 06-2006;80;4; SALES AND MARKETING OF FIXED LIFE, HEALTH, AND ANNUITY PRODUCTS. 2. SAGEPOINT FINANCIAL INC. RIA ;100;0;ADVISORY SERVICES 3. HOOVER & ASSOCIATES, INC, INVESTMENT RELATED, 2920 S. JONES BLVD, STE 110, LAS VEGAS, NV 89146, INVESTMENT ADVISOR CONSULTANT, 5/19/2011, 2 HRS/MO, 0 DURING SECURITY HRS, RESEARCH AND ANALYSIS FOR ASSET ALLOCATION AND THIRD PARTY MONEY MANAGER COMPARISONS. 4. ERIC NIETO INC. POSITION: President NATURE: S Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/05/2018 ADDRESS: 2655 Polk St, Apt 403, San Francisco CA 94109, United States DESCRIPTION: Incorporation for tax purposes only 5. COINBASE - BITCOIN POSITION: Individual; NATURE: Individual investor; INVESTMENT RELATED: Yes; NUMBER OF HOURS: 3; SECURITIES TRADING HOURS: 0; START DATE: 08/06/2021; ADDRESS: 2655 Polk Street, Apt 403, San Francisco CA 94109, United States; DESCRIPTION: Individual investment in bitcoin (up to $5k) 6. COINBASE - ETHEREUM POSITION: Individual; NATURE: Individual investor; INVESTMENT RELATED: Yes; NUMBER OF HOURS: 3; SECURITIES TRADING HOURS: 0; START DATE: 08/06/2021; ADDRESS: 2655 Polk Street, Apt 403, San Francisco CA 94109, United States; DESCRIPTION: Individual investment in ethereum (up to $5k) 7.BUILDING MANAGER POSITION: Building Manager NATURE: Approx 5 hrs per week working for a property management company as building manager in the building that I live in. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 03/23/2026 ADDRESS: 2655 Polk St, San Francisco CA 94109, United States DESCRIPTION: Duties include answering phones, providing access to maintenance crews, showing vacant units
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 2006-07-14 |
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