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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-01-19
LA RA APPROVED 2024-01-19
TX RA APPROVED 2024-01-19
  • CO RA
    APPROVED
    Since 2024-01-19
  • LA RA
    APPROVED
    Since 2024-01-19
  • TX RA
    APPROVED
    Since 2024-01-19

Branch Locations

1318 Camellia Blvd. Suite 301, Lafayette, LA 70508 • United States

111 Concord St Suite A, Abbeville, LA 70510 • 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
OrganizationCityStateFromTo
Capital One Financial Advisors Melville NY 07/2011 07/2018
Capital One Sharebuilder, Inc. Humble TX 01/2015 07/2018
Sharebuilder 401K Seattle WA 01/2015 Present
Woodbury Financial Services, Inc. Lafayette LA 07/2018 01/2024
Woodbury Financial Services, Inc. Lafayette LA 07/2018 Present
Osaic Wealth, Inc. Abbeville LA 01/2024 Present
  • 07/2011 → 07/2018
    Capital One Financial Advisors
    Melville, NY
  • 01/2015 → 07/2018
    Capital One Sharebuilder, Inc.
    Humble, TX
  • 01/2015 → Present
    Sharebuilder 401K
    Seattle, WA
  • 07/2018 → 01/2024
    Woodbury Financial Services, Inc.
    Lafayette, LA
  • 07/2018 → Present
    Woodbury Financial Services, Inc.
    Lafayette, LA
  • 01/2024 → Present
    Abbeville, LA
Previous Registrations
  • 2018-07-11 → 2024-01-19
    Woodbury Financial Services, Inc.
    Abbeville, LA
    Lafayette, LA
  • 2015-01-28 → 2018-07-11
    Capital One Advisors, Llc
    Seattle, WA
    Lafayette, LA
    Mclean, VA
  • 2011-08-01 → 2015-01-28
    Capital One Financial Advisors Llc
    Melville, NY
  • 2010-12-01 → 2011-07-08
    Cetera Investment Services Llc
    Lafayette, LA
  • 2009-10-13 → 2010-12-02
    Capital One Financial Advisors Llc
    Spring, TX
    Melville, NY
Other Businesses

1. CAPITAL INVESTMENT ADVISORS LLC POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 200 START DATE: 07/12/2018 ADDRESS: 1318 Camelia Blvd., Suite 301, Lafayette LA 70508, United States DESCRIPTION: We are operating under Capital Investment Advisors (DBA) under Woodbury Financial 2. HAWTHORNE MANAGEMENT GROUP LLC POSITION: MEMBER NATURE: THIS IS AN LLC ESTABLISHED FOR THE PURPOSE OF PURCHASING AND LEASING RESIDENTIAL REAL ESTATE PROPERTY INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2021 ADDRESS: 106 WATERFOWL RD., LAFAYETTE LA 70508, United States DESCRIPTION: I WILL HELP MY WIFE MAKE DECISIONS ON PURCHASING REAL ESTATE AS I AM A MEMBER OF THE LLC

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-09
S63 Uniform Securities Agent State Law Examination 2008-07-02
  • S66 Uniform Combined State Law Examination
    2009-10-09
  • S63 Uniform Securities Agent State Law Examination
    2008-07-02

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