Harold Leroy Teel

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2024-05-28
CA	RA	APPROVED	2017-06-29
WA	RA	APPROVED	2017-06-29

AZ RA
APPROVED

Since 2024-05-28
CA RA
APPROVED

Since 2017-06-29
WA RA
APPROVED

Since 2017-06-29

Branch Locations

Oracle, AZ • 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

Organization	City	State	From	To
Self	Sammamish	WA	11/1999	Present
Royal Alliance Associates, Inc.	Newport Beach	CA	07/2008	06/2023
Osaic Wealth, Inc.	Newport Beach	CA	06/2023	Present

11/1999 → Present

Self

Sammamish, WA
07/2008 → 06/2023

Royal Alliance Associates, Inc.

Newport Beach, CA
06/2023 → Present

Osaic Wealth, Inc.

Newport Beach, CA

Previous Registrations

2004-01-01 → 2008-07-25

Voya Financial Advisors, Inc.

Seattle, WA

Seattle, WA
2002-02-20 → 2004-01-01

Locust Street Securities, Inc.

Seattle, WA
1999-07-09 → 2002-11-29

Vestax Securities Corporation

Sammamish, WA

Other Businesses

1) TEEL FINANCIAL GROUP (DBA) POSITION: Financial Advisor/Agent NATURE: sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/01/1979 ADDRESS: 61094 E Slate Rd, Oracle AZ 85623, United States DESCRIPTION: Sale of life, disability, long-term care insurance; sale of fixed and variable deferred and immediate annuities (including QLACs) 2) SANDY CARTER CHARITABLE FOUNDATION POSITION: board member NATURE: Charitable foundation with tax exempt status INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 61094 E Slate Rd, Oracle AZ 85623, United States DESCRIPTION: Attend board meetings, assist with decisions on where to donate money

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-04-22
S63	Uniform Securities Agent State Law Examination	1988-03-07

S65 Uniform Investment Adviser Law Examination

1999-04-22
S63 Uniform Securities Agent State Law Examination

1988-03-07

Designations

Other Names

Hal Teel
Harold Leroy Teel

View on SEC IAPD