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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-06-14 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Raleigh | NC | 06/2013 | 06/2024 |
| Securities America Advisors, Inc. | Raleigh | NC | 06/2013 | 06/2024 |
| Osaic Wealth, Inc. | Raleigh | NC | 06/2024 | Present |
| Osaic Wealth, Inc. | Raleigh | NC | 06/2024 | Present |
1. INVESTMENT ADVISORY SECURITIES AMERICA ADVISORS - IAR - START DATE: 06/2013 - LOCATED AT 5513 CRESSAGE CT, RALEIGH, NC 27613 2. CARL MOORE FINANCIAL SERVICES POSITION: Owner NATURE: INSURANCE SALES - AGENT INVESTMENT RELATED INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2008 ADDRESS: 5513 CRESSAGE CT, RALEIGH NC 27613, United States DESCRIPTION: I search and find appropriate insurance products when a clients current situation needs it. I most provide term insurance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 1983-12-01 |
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