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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-26
FL RA APPROVED 2017-10-24
NC RA APPROVED 2017-10-23
  • NY RA
    APPROVED
    Since 2021-04-26
  • FL RA
    APPROVED
    Since 2017-10-24
  • NC RA
    APPROVED
    Since 2017-10-23

Branch Locations

Northport, NY • United States

Van Etten, NY • United States

38 Kings Highway, Hauppauge, NY 11788 • 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
National Planning Corporation Hauppauge NY 11/2003 10/2017
Royal Alliance Hauppauge NY 10/2017 Present
  • 11/2003 → 10/2017
    National Planning Corporation
    Hauppauge, NY
  • 10/2017 → Present
    Royal Alliance
    Hauppauge, NY
Previous Registrations
  • 2003-11-07 → 2017-10-23
    National Planning Corporation
    Hauppauge, NY
  • 1993-02-12 → 2003-01-28
    Nathan & Lewis Securities, Inc.
    Hauppauge, NY
Other Businesses

1. SOUTHERN TIER APPLES LLC POSITION: partner NATURE: Apple orchard LLC INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 8 START DATE: 08/17/2017 ADDRESS: 7 Devon Place, Northport NY 11768, United States DESCRIPTION: managing, selling of apples 2. BEACON CAPITAL MANAGEMENT INC. POSITION: President, Secretary NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/27/1990 ADDRESS: 38 Kings Highway, Hauppauge NY 11788, United States DESCRIPTION: President of Beacon Capital. Beacon Capital Management is a d/b/a only

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-01
S63 Uniform Securities Agent State Law Examination 1983-07-14
  • S65 Uniform Investment Adviser Law Examination
    1999-12-01
  • S63 Uniform Securities Agent State Law Examination
    1983-07-14

View on SEC IAPD

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