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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2024-06-03 |
| IA | RA | APPROVED | 2023-09-01 |
| MO | RA | APPROVED | 2023-09-01 |
| TX | RA | APPROVED | 2023-09-01 |
Branch Locations
2407 North Woodbine Road, St. Joseph, MO 64506 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments Institutional Services Company, Inc. | Westlake | TX | 07/2015 | 12/2017 |
| Sagepoint Financial | Saint Joseph | MO | 01/2018 | 09/2023 |
| Osaic Wealth, Inc. | St. Joseph | MO | 09/2023 | Present |
1. HERITAGE INVESTMENTS POSITION: Insurance Agent NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/01/2019 ADDRESS: 2407 N WOODBINE RD, SAINT JOSEPH MO 64506-3700, United States DESCRIPTION: Provide life insurance and annuities to clients. 2. FAMILY GUIDANCE CENTER POSITION: Board of Directors NATURE: 501(c)(3) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/14/2021 ADDRESS: 724 N 22nd Street, Saint Joseph MO 64506, United States DESCRIPTION: Board of Directors 3. HTG HOLDINGS LLC POSITION: Managing Partner NATURE: An entity used to manage the revenues and expenses of the business. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 2407 N Woodbine, Saint Joseph MO 64506, United States DESCRIPTION: Manage the revenues and expenses of the business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-29 |
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