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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Sioux City | IA | 10/2013 | 12/2023 |
| Securities America, Inc. | Sioux City | IA | 01/2024 | 06/2024 |
| Securities America Advisors | Sioux City | IA | 01/2024 | 06/2024 |
| Osaic Wealth, Inc. | Sioux City | IA | 06/2024 | Present |
| Osaic Wealth, Inc. | Sioux City | IA | 06/2024 | Present |
1. ELIZABETH WIESELER POSITION: Operations Specialist NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/03/2024 ADDRESS: 5764 Sunnybrook, Sioux City IA 51106, United States DESCRIPTION: This is to add my notary public as an outside activity 2. EFS GROUP WEALTH MANAGEMENT POSITION: Operations Specialist NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 01/03/2024 ADDRESS: 5764 Sunnybrook, Sioux City IA 51106, United States DESCRIPTION: Operations specialist servicing existing client accounts with input from advisors for requests including address update, money movement, goal modification in WMP, scheduling appointments, researching accounts.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-07-27 |
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