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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-01-11 |
| CT | RA | APPROVED | 2023-09-01 |
| MA | RA | APPROVED | 2023-09-01 |
| NC | RA | APPROVED | 2023-09-01 |
| PA | RA | APPROVED | 2023-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 11/2015 | 09/2017 |
| Sagepoint Financial, Inc. | Cornelius | NC | 09/2017 | 09/2023 |
| Osaic Wealth, Inc. | Cornelius | NC | 09/2023 | Present |
1. The Peninsula Club (Swim Coach), 19101 Peninsula Club Drive, Cornelius NC, 28031. Start date: 05/2017, Hours: (seasonal summer) 7.5/week 2. NORTH MAIN FINANCIAL GROUP POSITION: Representative/Agent NATURE: We are entering into a strategic business relationship with IPCG (www.ipcginsurance.com) to offer property & Casualty insurance to our clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 12/10/2020 ADDRESS: 20901 N. Main Street, Cornelius NC 28031, United States DESCRIPTION: As licensed P&C professionals we will offer P&C insurance to our clients, utilizing IPCG as the independent broker/agent to manage the process from application to claim management. 3. SWIM COACH POSITION: Coach NATURE: Swim coach two days a week from 5:30am - 6:30am. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/02/2020 ADDRESS: 750 Jetton St., Davidson NC 28036, United States DESCRIPTION: Coaching high school swimming. 5. SWIM COACH POSITION: Coach NATURE: Youth summer swim coach INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2017 ADDRESS: 19101 Peninsula Club Dr, Cornelius NC 28031, United States DESCRIPTION: Summer swim coach in the evenings coach youth swimmers at a local country club.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 2016-01-26 |
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