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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-01 |
Branch Locations
200 Clock Tower Place Suite A102, Carmel, CA 93923 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc | Hollister | CA | 01/2009 | 09/2023 |
| Osaic Wealth, Inc. | Carmel | CA | 09/2023 | Present |
1. INSURANCE - HEALTH, LIFE AND DISABILITY PENSION RELATED SVCS -SELLS 401K PLANS TO BUSINESSES 2. ALLIED WM INSURANCE SERVICES LLC POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 05/17/2019 ADDRESS: 200 Clock Tower Place, Suite A 102, Carmel CA 93923, United States DESCRIPTION: Life, Health, Disability, LTC
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-02 |
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