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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-11-02
  • CA RA
    APPROVED
    Since 2018-11-02

Branch Locations

1101 Fremont Ave Suite 201, South Pasadena, CA 91030 • 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
Pacific Bridge Monrovia CA 11/1992 06/2017
Citrus Estate Planning Council Fontana CA 02/2011 Present
Signator Investors, Inc. Pasadena CA 05/2016 11/2018
Royal Alliance Associates, Inc. South Pasadena CA 11/2018 Present
  • 11/1992 → 06/2017
    Pacific Bridge
    Monrovia, CA
  • 02/2011 → Present
    Citrus Estate Planning Council
    Fontana, CA
  • 05/2016 → 11/2018
    Signator Investors, Inc.
    Pasadena, CA
  • 11/2018 → Present
    Royal Alliance Associates, Inc.
    South Pasadena, CA
Previous Registrations
  • 2016-05-13 → 2018-11-02
    Signator Investors, Inc.
    South Pasadena, CA
  • 2009-09-04 → 2016-05-13
    Monrovia, CA
    Pasadena, CA
  • 2006-06-02 → 2009-09-04
    Transamerica Financial Advisors, Inc.
    Monrovia, CA
    Monrovia, CA
Other Businesses

1) CITRUS ESTATE PLANNING COUNCIL POSITION: Vice President NATURE: The Citrus Estate Planning Council for the greater San Gabriel Valley is an interdisciplinary organization for professionals involved in estate planning and it's related service industries. Citrus Estate Planning Council is a local chapter of the National Association of Estate Planning Councils (NAEPC) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2011 ADDRESS: 15895 Jackson, Fontana CA 92336, United States DESCRIPTION: I assist the President with planning programs

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-01-08
  • S63 Uniform Securities Agent State Law Examination
    1993-01-08
Other Names
  • Leroy M Kawai

View on SEC IAPD

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