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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Personal Design Financial | Lynchburg | VA | 08/1980 | Present |
| Securities America, Inc. | Lynchburg | VA | 12/2012 | 06/2024 |
| Securities America Advisors | Forest | VA | 11/2017 | 06/2024 |
| Personal Design Financial Services | Forest | VA | 08/1980 | Present |
| Osaic Wealth, Inc. | Forest | VA | 06/2024 | Present |
| Osaic Wealth, Inc. | Forest | VA | 06/2024 | Present |
PERSONAL DESIGN FINANCIAL SERVICES POSITION: PRESIDENT NATURE: PERSONAL DESIGN FINANCIAL SERVICES INC - INSURANCE SALES - AGENT/PRESIDENT - START DATE: 08/1980 - LOCATED AT106-B ANNJO COURT FOREST, VA 24551- 90% TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 08/01/1980 ADDRESS: 106-B ANNJO COURT, FOREST VA 24551, United States DESCRIPTION: INSURANCE AGENCY THOMPSON-BROOKS INSURANCE POSITION: co-president NATURE: Insurance sales-health, life, disability, dental and vision, long term care, pre-paid legal and identity theft plans, medicare plans. INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 50 START DATE: 07/14/2014 ADDRESS: 106-B Annjo Court, Suite B, Forest VA 24551, United States DESCRIPTION: Insurance sales-health, life, disability, dental and vision, long term care, pre-paid legal and identity theft plans, medicare plans. DBA - THOMPSON-BROOKS INSURANCE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-07 |
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