Stephen Y Hsieh

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-11-02

CA RA
APPROVED

Since 2018-11-02

Branch Locations

3703 Mt Diablo Blvd, Lafayette, CA 94549 • 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

Organization	City	State	From	To
Signator Investors, Inc/Jhfn	Irvine	CA	11/2010	11/2018
Royal Alliance Associates, Inc.	Irvine	CA	11/2018	Present

11/2010 → 11/2018

Signator Investors, Inc/Jhfn

Irvine, CA
11/2018 → Present

Royal Alliance Associates, Inc.

Irvine, CA

Previous Registrations

2015-01-30 → 2018-11-02

Signator Investors, Inc.

Irvine, CA
2011-12-13 → 2014-12-17

Signature Resources Capital Management, Llc

Newport Beach, CA

Other Businesses

1. STEPHEN HSIEH - DBA PACIFIC FINANCIAL PARTNERS - FIXED INSURANCE SALES POSITION: Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 24 START DATE: 06/01/2013 ADDRESS: 13332 Presidio Place, Tustin CA 92782, United States DESCRIPTION: Independent life and insurance sales agent using Pacific Financial Partners as a DBA.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-12-12
S63	Uniform Securities Agent State Law Examination	2010-12-30

S65 Uniform Investment Adviser Law Examination

2011-12-12
S63 Uniform Securities Agent State Law Examination

2010-12-30

View on SEC IAPD