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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-09-03
MA RA APPROVED 2018-11-02
  • TX RA
    APPROVED
    Since 2024-09-03
  • MA RA
    APPROVED
    Since 2018-11-02

Branch Locations

40 Shattuck Road Suite 306, Andover, MA 01810 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Signator Investors Incorporated Andover MA 12/2010 11/2018
Royal Alliance Associates, Inc. Andover MA 11/2018 08/2023
Osaic Wealth, Inc Andover MA 08/2023 Present
  • 12/2010 → 11/2018
    Signator Investors Incorporated
    Andover, MA
  • 11/2018 → 08/2023
    Royal Alliance Associates, Inc.
    Andover, MA
  • 08/2023 → Present
    Andover, MA
Previous Registrations
  • 2017-04-11 → 2018-11-02
    Signator Investors, Inc.
    Andover, MA
Other Businesses

1) SYCAMORE IRREVOCABLE TRUST POSITION: Trustee NATURE: Irrevocable Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/10/2018 ADDRESS: 10 Sycamore Ln, Salisbury MA 01952, United States DESCRIPTION: Trustee of Irrevocable Trust 2) RETIREMENT FIDUCIARY GROUP, LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2019 ADDRESS: 40 Shattuck Rd., Suite 306, Andover MA 01860, United States DESCRIPTION: New entity name for the creation of marketing materials including business cards. 3) INSURANCE BROKERAGE/THE C.O.R.E. GROUP/CRUMP INSURANCE/BOSTON PARTNERS FINANCIAL GROUP, LLC POSITION: Partner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2011 ADDRESS: 40 Shattuck Rd., Suite 306, Andover MA 01810, United States DESCRIPTION: Insurance Agent 4) NOTARY PUBLIC POSITION: Notary Public NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2024 ADDRESS: 40 Shattuck Rd., Suite 306, Andover MA 01810, United States DESCRIPTION: Act as notary public for clients as needed

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-06
S63 Uniform Securities Agent State Law Examination 2011-02-24
  • S65 Uniform Investment Adviser Law Examination
    2017-04-06
  • S63 Uniform Securities Agent State Law Examination
    2011-02-24
Designations

View on SEC IAPD

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