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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED_RES | 2024-06-14 |
Branch Locations
5301 Madison Avenue, Ste 302, Sacramento, CA 95841 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Financial Services | Sacramento | CA | 10/1991 | Present |
| Securities America, Inc. | Sacramento | CA | 01/1995 | 06/2024 |
| Securities America Advisors, Inc | Sacramento | CA | 06/1997 | 06/2024 |
| Osaic Wealth, Inc. | Sacramento | CA | 06/2024 | Present |
| Osaic Wealth, Inc. | Sacramento | CA | 06/2024 | Present |
1. CAPITAL FINANCIAL SERVICES POSITION: Owner NATURE: Capital Financial Services - Tax Preparation, Tax Planning and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 70 SECURITIES TRADING HOURS: 70 START DATE: 09/01/1982 ADDRESS: 5301 Madison Avenue, Suite 302, Sacramento CA 95841 DESCRIPTION: Income tax preparation, Income tax planning, life and disability insurance analysis and sales. 2. SECURITIES AMERICA ADVISORS POSITION: Advisor NATURE: Investment Advisory - INVESTMENT ADVISOR REPRESENTATIVE INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 70 START DATE: 06/01/1997 ADDRESS: 5301 Madison Ave. Ste. 302, Sacramento CA 95841 DESCRIPTION: Investment Advisory Services 3. N/A POSITION: owner or rental property NATURE: REAL ESTATE - RENTAL PROPERTIES INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1998 ADDRESS: 5301 Madison Ave. #302, Sacramento CA 95841 DESCRIPTION: Own commercial rental property. Leased out to tenants non-related to SAI clients. 4. CFS WEALTH ADVISORS POSITION: sole proprietor NATURE: Tax Preparation, Tax Planning and Insurance Services and DBA for investments services replacing existing Capital Financial Services DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 70 SECURITIES TRADING HOURS: 70 START DATE: 07/02/2015 ADDRESS: 5301 Madison Avenue, Ste. 302, Sacramento CA 95841 DESCRIPTION: Tax Preparation, Tax Planning, Insurance Services and DBA for Investment business
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1986-06-20 |
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