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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2023-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fsc Securities Corporation | Helena | MT | 03/1993 | 11/2023 |
| Capital Financial Advisory Inc. | Helena | MT | 10/1993 | Present |
| Osaic Wealth, Inc. | Helena | MT | 11/2023 | Present |
1. Capital Financial Advisory, Inc. 7 W. 6th Avenue Suite 4H Helena, MT 59601 President Start Date 01/01/2025 5 hours per month Solicitation of Fixed Annuity and Fixed Life Insurance business. 2. CAPITAL FINANCIAL ADVISORY, INC POSITION: Agent NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2025 ADDRESS: 7 W. 6th Avenue, Suite 4H, Helena MT 59601, United States DESCRIPTION: Solicitation and sales of fixed life insurance and fixed annuity business.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-03-05 |
| S65 | Uniform Investment Adviser Law Examination | 1993-04-03 |
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