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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-14 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Stockton | CA | 01/2013 | 10/2017 |
| Securities America Inc. | Stockton | CA | 10/2017 | 06/2024 |
| Securities America Advisors | Stockton | CA | 10/2017 | 06/2024 |
| Osaic Wealth, Inc. | Lodi | CA | 06/2024 | Present |
| Osaic Wealth, Inc. | Lodi | CA | 01/2025 | Present |
1. SMITH, GATSCHET & KOBRIN FINANCIAL GROUP POSITION: Insurance Sales NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/21/2017 ADDRESS: 1111 W. Tokay Street, Suite B, Lodi CA 95240, United States DESCRIPTION: Occasional sale of Fixed Annuities, Term Life Insurance, Whole Life Insurance and Long Term Care Insurance. 2. OSAIC, INC. POSITION: Managed Asset Sales NATURE: Osaic, Inc. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/23/2017 ADDRESS: 1111 W Tokay Street, Suite B, Lodi CA 95240, United States DESCRIPTION: Osaic, Inc. Corporate RIA 3. PATHWAYS, INC. POSITION: Board member NATURE: Pathways, Inc. is a corporation that provides treatment for addiction recovery, substance abuse treatment, and mental health counseling, trauma and suicide prevention. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 230 W. Towne Ridge Parkway, Suite 150, Sandy UT 84070, United States DESCRIPTION: Virtually attend quarterly board meetings to assist the organization in making informed business decisions regarding the management of the company.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-03-06 |
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