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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-01-24 |
Branch Locations
10629 Henning Way Suite 1, Louisville, KY 40241 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fisher Investments | Tampa | FL | 06/2019 | 06/2022 |
| Aramark | Louisville | KY | 04/2017 | 05/2018 |
| Marlborough Hotel | Sydney | 07/2018 | 01/2019 | |
| Building And Earth Sciences Inc. | Louisville | KY | 11/2015 | 03/2017 |
| University Of Louisville | Louisville | KY | 08/2014 | 04/2018 |
| Unemployed | Perth | 01/2019 | 06/2019 | |
| Unemployed | Lexington | KY | 06/2022 | 10/2022 |
| Horizon Wealth Management | Louisville | KY | 10/2022 | 08/2024 |
| Lpl Financial | Louisville | KY | 05/2024 | 08/2024 |
| Unemployed | Brisbane | 05/2018 | 07/2018 | |
| Osaic Fs, Inc | Louisville | KY | 08/2024 | Present |
| Osaic Wealth, Inc. | Louisville | KY | 01/2025 | Present |
1) SAMUEL HATFIELD, LOUISVILLE KY CATEGORY: REAL ESTATE RENTAL INVESTMENT RELATED: YES TITLE: OWNER DUTIES: RENT OUT UPSTAIRS UNIT START DATE: 02/2024 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 0 2) SAMUEL HATFIELD, LOUISVILLE KY CATEGORY: REAL ESTATE RENTAL INVESTMENT RELATED: YES TITLE: OWNER DUTIES: AIRBNB RENTAL OF UPSTAIRS PORTION OF PRIMARY RESIDENCE START DATE: 02/2024 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 0 3) SAMUEL HATFIELD, 10629 HENNING WAY, STE 1, LOUISVILLE KY CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: SALES AND SERVICE OF TRADITIONAL LIFE INSURANCE START DATE: 08/2024 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 1 4) RUBY FINANCIAL PLANNING, LLC POSITION: Financial Planning Assistant NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/01/2024 ADDRESS: 10629 Henning Way, Suite 1, Louisville KY 40241, United States DESCRIPTION: I'm an employee of Ruby Financial Planning. Duties include account opening, asset movement, rollover calls, client conversations within the realm of being the Financial Planner's assistant. Solution resolution between clients and Osaic Wealth as Broker Dealer.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-11-20 |
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