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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-01-19
IL RA APPROVED 2024-01-19
TX RA APPROVED_RES 2024-01-19
WI RA APPROVED 2024-01-19
  • FL RA
    APPROVED
    Since 2024-01-19
  • IL RA
    APPROVED
    Since 2024-01-19
  • TX RA
    APPROVED_RES
    Since 2024-01-19
  • WI RA
    APPROVED
    Since 2024-01-19

Branch Locations

10411 Corporate Drive Suite 200, Pleasant Prairie, WI 53158 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Kenosha WI 07/1988 Present
Woodbury Financial Services Inc Pleasant Prairie WI 11/2015 01/2024
Osaic Wealth, Inc. Pleasant Prairie WI 01/2024 Present
  • 07/1988 → Present
    Self
    Kenosha, WI
  • 11/2015 → 01/2024
    Woodbury Financial Services Inc
    Pleasant Prairie, WI
  • 01/2024 → Present
    Pleasant Prairie, WI
Previous Registrations
  • 2015-11-02 → 2024-01-19
    Woodbury Financial Services, Inc.
    Pleasant Prairie, WI
    Pleasant Prairie, WI
    Naples, FL
  • 2011-05-04 → 2015-11-03
    Davenport, IA
    Kenosha, WI
    Pleasant Prairie, WI
  • 2009-04-09 → 2011-05-03
    Workman Securities Corporation
    Minnetonka, MN
    Kenosha, WI
Other Businesses

1) FIXED LIFE INSURANCE AND ANNUITY SALES POSITION: agent NATURE: sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/1986 ADDRESS: 10411 Corporate Dr 202, Pleasant Prairie WI 53158 DESCRIPTION: sell fixed life insurance and annuities 2) SPECTRUM WEALTH ADVISORS POSITION: sales NATURE: S-Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 01/01/2010 ADDRESS: 10411 Corporate Dr 202, Pleasant Prairie WI 53158 DESCRIPTION: Fixed insurance an annuity sales 3) KENOSHA COMMUNTIY FOUNDATION POSITION: board member NATURE: Board member of Non Profit foundation. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2010 ADDRESS: 600 52 Street Suite110, Kenosha WI 53140, United States DESCRIPTION: Attend board meetings and review activities of foundation 4) JKY INVESTMENTS POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/02/2024 ADDRESS: 10411 Corporate Dr 202, Pleasant Prairie WI 53158, United States DESCRIPTION: Provide investment advice and planning to clients as registered rep and RIA rep of Osaic.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-03
S63 Uniform Securities Agent State Law Examination 1985-06-20
  • S66 Uniform Combined State Law Examination
    2000-10-03
  • S63 Uniform Securities Agent State Law Examination
    1985-06-20

View on SEC IAPD

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