Stephen Ray Douglas

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2010-08-20

IN RA
APPROVED

Since 2010-08-20

Branch Locations

501 W. Bristol Street, Elkhart, IN 46514 • 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

Organization	City	State	From	To
Royal Alliance Associates, Inc.	Elkhart	IN	11/1989	Present

11/1989 → Present

Royal Alliance Associates, Inc.

Elkhart, IN

Other Businesses

1. STEPHEN R. DOUGLAS, INVESTMENT RELATED, 501 W. BRISTOL ST. ELKHART, IN 46514, OWNER, START DATE: 5/1/1985, LESS THAN 1 HR MONTH, 0 DST, INSURANCE PRODUCTS ARE NOT A MAIN FOCUS OF MY BUSINESS AND I DO NOT SOLICIT MY CLIENTS FOR INSURANCE PRODUCTS. IF A CLIENT COMES TO ME WITH AN INSURANCE NEED, THAT IS WHEN I MAKE SUGGESTIONS, IE, TERM LIFE INSURANCE, FIXED ANNUITY, INDIVIDUAL HEALTH INSURANCE, OR VARIABLE ANNUITY. 2. STEPHEN R DOUGLAS POSITION: no title NATURE: Notary Public INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/06/2008 ADDRESS: 501 W. Bristol St., Elkhart IN 46514, United States DESCRIPTION: I occasionally notarize documents for clients

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-08-16
S63	Uniform Securities Agent State Law Examination	1984-10-05

S65 Uniform Investment Adviser Law Examination

2010-08-16
S63 Uniform Securities Agent State Law Examination

1984-10-05

View on SEC IAPD

Current Employers

Osaic Wealth, Inc.

Disclosures

Employment History

Other Businesses

Exams

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