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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-09-01
TX RA APPROVED_RES 2023-09-01
  • CA RA
    APPROVED
    Since 2023-09-01
  • TX RA
    APPROVED_RES
    Since 2023-09-01

Branch Locations

3723 Birch St.-Ste 9-A, Newport Beach, CA 92660 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sagepoint Financial, Inc Newport Beach CA 01/2009 09/2023
Osaic Wealth, Inc. Newport Beach CA 09/2023 Present
  • 01/2009 → 09/2023
    Sagepoint Financial, Inc
    Newport Beach, CA
  • 09/2023 → Present
    Newport Beach, CA
Previous Registrations
  • 2005-10-31 → 2023-09-01
    Osaic Services, Inc.
    Irvine, CA
    Newport Beach, CA
  • 1999-02-26 → 2005-10-31
    Sunamerica Securities, Inc.
    Newport Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-12-23
S63 Uniform Securities Agent State Law Examination 1998-09-15
  • S65 Uniform Investment Adviser Law Examination
    1998-12-23
  • S63 Uniform Securities Agent State Law Examination
    1998-09-15

View on SEC IAPD

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