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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Richards Benefits & Financial Services | Beaver Dam | WI | 01/1982 | Present |
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2013 | 11/2016 |
| Securities America, Inc. | Beaver Dam | WI | 11/2016 | 06/2024 |
| Securities America Advisors | Beaver Dam | WI | 11/2016 | 06/2024 |
| Osaic Wealth, Inc. | Beaver Dam | WI | 06/2024 | Present |
| Osaic Wealth, Inc. | Beaver Dam | WI | 06/2024 | Present |
Richards Benefits & Financial Services - DBA Position: Sales - Nature: Life Insurance Sales - Investment Related: No - Hours: 80 - Securities Trading Hours: 80 - Start Date: 1/1982 - Address: 123 N SPRING ST, Beaver Dam WI 53916 DBA: Rollie Moll of Richards benefits and financial services
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-03-29 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-20 |
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