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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 |
| IL | RA | APPROVED | 2023-09-01 |
| MO | RA | APPROVED | 2023-09-01 |
| OK | RA | APPROVED | 2023-09-01 |
| TX | RA | APPROVED | 2023-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc | Waterloo | IL | 02/2011 | Present |
| Osaic Wealth, Inc. | Waterloo | IL | 09/2023 | Present |
1) REAL ESTATE RENTAL POSITION: owner NATURE: sole prop Buying, rehabbing and renting properties that me and my wife own and manage. No outside investors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2017; ADDRESS: 8125 Prairie Lake Dr, Waterloo IL 62298; DESCRIPTION: Primarily provide financial support for the business. 2) CARRICO FINANCIAL GROUP POSITION: owner NATURE: Sole prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 25 START DATE: 02/03/1979 ADDRESS: 229 S Main St, Waterloo IL 62298, United States DESCRIPTION: review and sell fixed life insurance and annuity products
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-20 |
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