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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America Inc | La Vista | NE | 04/2014 | 04/2017 |
| Securities America Advisors | La Vista | NE | 03/2015 | 04/2017 |
| Senior Market Sales (Dba) | Omaha | NE | 04/2017 | Present |
| Futurity First Insurance Group | Omaha | NE | 04/2017 | Present |
| Proequities, Inc. | Omaha | NE | 05/2017 | 03/2018 |
| Securities America Financial Corporation | La Vista | NE | 04/2014 | 04/2017 |
| Securities America, Inc. | Omaha | NE | 03/2018 | 06/2024 |
| Securities America Advisors, Inc. | Omaha | NE | 03/2018 | 06/2024 |
| Osaic Wealth, Inc. | Omaha | NE | 06/2024 | Present |
| Osaic Wealth, Inc. | Omaha | NE | 06/2024 | Present |
1. Futurity First Insurance Group, Inc. - DBA 2. SECURITIES AMERICA ADVISORS, INC. POSITION: Attorney NATURE: Legal and compliance support for group of Investment Advisor Representatives affiliated with SAA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 03/20/2018 ADDRESS: 8420 West Dodge Road, 5th Floor, Omaha NE 68116 DESCRIPTION: Providing legal and compliance guidance to the advisors/leadership of the production group of Futurity First Insurance Group, Inc. 3. SMS POSITION: Attorney/Partner NATURE: I am employed as Deputy General Counsel for Senior Market Sales, Inc. ("SMS"), the parent company of Futurity First Insurance Group, Inc. My position involves providing legal counsel to all the entities within the SMS family. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/17/2017 ADDRESS: 8420 W. Dodge Road, 5th Floor, Omaha NE 68116 DESCRIPTION: I am employed as Deputy General Counsel for Senior Market Sales, Inc. ("SMS"), the parent company of Futurity First Insurance Group, Inc. My position involves providing legal counsel to all the entities within the SMS family. 4. ALLIANT INSURANCE SERVICES, INC. POSITION: Attorney/Partner NATURE: I am employed as Deputy General Counsel for Alliant Insurance Services, Inc., including its subsidiary Futurity First Insurance Group LLC (FFIG). My position involves providing legal counsel to all the entities within the Alliant Consumer Group division, which includes FFIG. This is essentially the same position I previously held for Senior Market Sales LLC (SMS), which was purchased by Alliant. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/17/2017 ADDRESS: 8420 W. Dodge Road, 5th Floor, Omaha NE 68116, United States DESCRIPTION: I am employed as Deputy General Counsel for Alliant Insurance Services, Inc., including its subsidiary Futurity First Insurance Group LLC (FFIG). My position involves providing legal counsel to all the entities within the Alliant Consumer Group division, which includes FFIG. This is essentially the same position I previously held for Senior Market Sales LLC (SMS), which was purchased by Alliant.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-16 |
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