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James Herman Duren

Osaic Wealth, Inc.

Tuscaloosa, AL

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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-01-04
AL RA APPROVED 2023-09-01
  • FL RA
    APPROVED
    Since 2024-01-04
  • AL RA
    APPROVED
    Since 2023-09-01

Branch Locations

2220 University Boulevard, Tuscaloosa, AL 35401 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sagepoint Financial, Inc Tuscaloosa AL 01/2009 09/2023
Pathway Financial Resources Llc Tuscaloosa AL 06/2002 Present
Downtown Professional Building, Llc Tuscaloosa AL 08/2001 Present
Osaic Wealth, Inc. Tuscaloosa AL 09/2023 Present
  • 01/2009 → 09/2023
    Sagepoint Financial, Inc
    Tuscaloosa, AL
  • 06/2002 → Present
    Pathway Financial Resources Llc
    Tuscaloosa, AL
  • 08/2001 → Present
    Downtown Professional Building, Llc
    Tuscaloosa, AL
  • 09/2023 → Present
    Tuscaloosa, AL
Previous Registrations
  • 2010-04-07 → 2023-09-01
    Osaic Services, Inc.
    Tuscaloosa, AL
Other Businesses

1. PATHWAY FINANCIAL RESOURCES LLC,YES, 2220 UNIVERSITY BOULEVARD, TUSCALOOSA, AL 35401,OWNER,06/2002,60HRS,2HRS,SALES OF LIFE INSURANCE, HEALTH & DISABILITY INSURANCE AND ANNUITES; MANAGE OFFICE. 2. DOWNTOWN PROFESSIONAL BUILDING, LLC, YES,2220 UNIVERSITY BLVD., TUSCALOOSA, AL 35401,PARTNER,08/2001, 10HRS,0HRS,LLC OWNS THE BUILDING IN WHICH PATHWAY FINANCIAL RESOURCES OPERATES. 3. DOWNTOWN PROFESSIONAL BUILDING, LLC POSITION: PARTNER - NATURE: LIMITED LIABILITY COMPANY - INVESTMENT RELATED: NO NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2015 ADDRESS: 2220 UNIVERSITY BLVD TUSCALOOSA, AL 35401, TUSCALOOSA AL 35401 DESCRIPTION: DOWNTOWN PROFESSIONAL BUILDING, LLC OWNS THE BUILDING IN WHICH SAGEPOINT FINANCIAL OPERATES. 4. PATHWAY FINANCIAL RESOURCES POSITION: Partner - NATURE: Other - D/B/A Marketing Organization INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 01/01/2000 ADDRESS: 2220 University Blvd, Tuscaloosa AL 35401 DESCRIPTION: Sale of life insurance, health insurance, disability insurance, and annuities

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-16
S63 Uniform Securities Agent State Law Examination 1988-01-29
  • S66 Uniform Combined State Law Examination
    2008-05-16
  • S63 Uniform Securities Agent State Law Examination
    1988-01-29
Other Names
  • Jimmy Duren

View on SEC IAPD

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