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2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2024-11-08 |
| TX | RA | APPROVED | 2024-11-08 |
Branch Locations
5901 S Macadam Ave Suite 135, Portland, OR 97239 • United States
18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED | 2024-06-14 |
Branch Locations
5901 S Macadam Ave Suite 135, Portland, OR 97239 • United States
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 |
|---|---|---|---|---|
| Kms Financial Services, Inc | Seattle | WA | 11/2005 | 11/2020 |
| Securities America, Inc. | Portland | OR | 11/2020 | 06/2024 |
| Securities America Advisors, Inc. | Portland | OR | 11/2020 | 06/2024 |
| Arbor Point Advisors | Portland | OR | 11/2020 | 11/2024 |
| Osaic Wealth, Inc. | Portland | OR | 06/2024 | Present |
| Osaic Advisory Services, Llc | Atlanta | GA | 11/2024 | Present |
1. NORTHWEST INVESTMENT & RETIREMENT GROUP, LLC. INSURANCE POSITION: Owner NATURE: Business name that I currently use for marketing purposes with Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/31/2011 ADDRESS: 5901 S MACADAM AVE STE 135, Portland OR 97239 DESCRIPTION: Current business name I use with KMS Financial Services, Inc. and the one I will use with Securities America for Insurance products. 2. TRAFALGAR CAPITAL MANAGEMENT, INC. POSITION: Owner NATURE: Former company that I used with KMS Financial Services, Inc. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/31/2008 ADDRESS: 5901 S MACADAM AVE STE 135, Portland OR 97239 DESCRIPTION: I only use this business for tax reporting purposes. 3. DBA - Northwest Investment & Retirement Group, LLC 4. NORTHWEST INVESTMENT & RETIREMENT GROUP, LLC. INSURANCE POSITION: Owner NATURE: LLC. Business name that I currently use for marketing purposes with Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/31/2011 ADDRESS: 5901 S MACADAM AVE STE 135, Portland OR 97239, United States DESCRIPTION: Current business name I use with Osaic Wealth, Inc and Osaic Advisory Services, and the one I use with Osaic Wealth, Inc. for Insurance products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 1985-02-13 |
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