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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-09-25
TX RA APPROVED_RES 2023-07-19
NJ RA APPROVED 2018-11-07
CT RA APPROVED 2018-11-05
  • FL RA
    APPROVED
    Since 2024-09-25
  • TX RA
    APPROVED_RES
    Since 2023-07-19
  • NJ RA
    APPROVED
    Since 2018-11-07
  • CT RA
    APPROVED
    Since 2018-11-05

Branch Locations

20 Bingham Avenue Suite 6B, Rumson, NJ 07760 • United States

2 Essex Square Suite 2F, Essex, CT 06426 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
John Hancock Life Insurance Company Boston MA 12/1992 11/2018
Osaic Wealth, Inc. Essex CT 11/2018 Present
  • 12/1992 → 11/2018
    John Hancock Life Insurance Company
    Boston, MA
  • 11/2018 → Present
    Essex, CT
Previous Registrations
  • 2005-01-24 → 2018-11-05
    Signator Investors, Inc.
    Rumson, NJ
    Roseland, NJ
    Essex, CT
    Boston, MA
Other Businesses

1. LEGACY MARKETING: AMERICAN NATIONAL & IL LIFE & ANNUITY BROKER. 2. INSURANCE BROKER: HEALTH AND GROUP , BENEFITS ,WALSH BENEFITS, 718 RIVER ROAD,FAIR HAVEN, NJ 07704 , HEALTH INSURANCE SALES, START OF RELATIONSHIP: MAY 1, 2010 , APPROXIMATE # OF HOURS PER MONTH: 1, APPROXIMATE # OF HOURS SPENT DURING REGULAR SECURITIES TRADING HOURS: 0 . 3.INSURANCE BROKER: LIFE, ANNUITIES, LTC, DI, VARIOUS CARRIERS, LIFE, ANNUITIES, LTC, DI SALES , START OF RELATIONSHIP: MAY 1, 2010, APPROXIMATE # OF HOURS PER MONTH: 1 . 4. INSURANCE BROKER: PROPERTY AND CASUALTY , VARIOUS CARRIERS , PROPERTY AND CASUALTY INSURANCE SALES, START OF RELATIONSHIP: MAY 1, 2010, APPROXIMATE # OF HOURS PER MONTH: 1. 5. ACORN FINANCIAL SERVICES POSITION: Certified Financial Planner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 03/01/1980 ADDRESS: 2 Essex Square, 2nd Floor, Essex CT 06426, United States DESCRIPTION: Financial Planning & Wealth Advisory 6. INSURANCE BROKERAGE POSITION: Insurance Broker NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/01/1980 ADDRESS: 2 Essex Square, 2nd Floor, Essex CT 06426, United States DESCRIPTION: Insurance Sales and Service

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-12-08
S63 Uniform Securities Agent State Law Examination 2004-08-02
  • S65 Uniform Investment Adviser Law Examination
    2004-12-08
  • S63 Uniform Securities Agent State Law Examination
    2004-08-02
Designations

View on SEC IAPD

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