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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 |
|---|---|---|---|---|
| Securities America, Inc. | Richmond | VA | 02/2013 | 06/2024 |
| Securities America Advisors, Inc. | Richmond | VA | 01/2014 | 06/2024 |
| Osaic Wealth, Inc. | Richmond | VA | 06/2024 | Present |
| Osaic Wealth, Inc. | Richmond | VA | 06/2024 | Present |
1. HUGH CARTER POSITION: Consultant NATURE: HUGH CARTER - INSURANCE SALES - LIFE INSURANCE SALES AND CONSULTING - Investment Related - 25% TIME SPENT - Start Date: 10/1982 - Located at 300 Tuckahoe Blvd, Richmond, Va 23226 INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/01/1982 ADDRESS: 300 Tuckahoe Blvd, Richmond VA 23226, United States DESCRIPTION: Life insurance sales to individuals. 2. EXECUTIVE BENEFIT SOLUTIONS POSITION: Sales consultant NATURE: Consulting work with Executive Benefit Solutions INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2015 ADDRESS: 300 Tuckahoe Blvd, Richmond VA 23226, United States DESCRIPTION: Sales of insurance products to businesses to fund their non-qualified executive benefit plans.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-14 |
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