John Sugg Nau

Current Employers

Employment History

• 10/1997 → Present
  The Legacy Collaborative, Inc.
  San Antonio, TX
• 02/2015 → Present
  World Equity Group
  Boerne, TX

Previous Registrations

• 2017-12-15 → 2022-12-31
  The Legacy Collaborative, Inc.
  San Antonio, TX
• 2007-02-07 → 2016-12-31
  The Legacy Collaborative, Inc.
  San Antonio, TX
• 1997-08-15 → 2008-01-15
  Fsc Securities Corporation
  Boerne, TX
• 2006-01-25 → 2006-12-31
  The Legacy Collaborative, Inc.
  San Antonio, TX
• 2005-01-18 → 2005-12-31
  The Legacy Collaborative, Inc.
• 2003-01-08 → 2004-12-31
  The Legacy Collaborative, Inc.
  San Antonio, TX

Other Businesses

1. Annuities, Investment Related, Started 1985, Approx 5 hrs/mo, 4 hrs during trading hrs, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Sales of fixed & indexed annuities, Agent/self employed, Sales of Fixed & Indexed annuities to clients. 2. Private Advisors, LLC, Investment Related, Started 2003, Approx 5 hrs/mo, all during trading hrs., 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Member/Owner/Agent, Sales of Life Insurance products to clients referred by owner/member CPA's. 3. Co-Trustee of James Stephen Nau Irrevocable Special Needs Trust, Investment Related, Started 5-2-20, Approx 2 hrs/mo, 1 during trading hrs, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Special needs trust, co-trustee of younger brother's trust, Duties: All financial and administrative duties. 4. The Legacy Collaborative, Inc., Investment Related, Started 1-15-2008, Approx 10 hrs/mo, all during trading hours, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Fees for financial planning and investment advice, President/IAR, Duties: Creating financial plans for clients, providing investment advice. 5. New First Financial Resources, Investment Related, Started 10-2017, Approx 10 hrs/mo, all during trading hours, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Life Insurance Producer Group, Member of Board of Directors, Board Member. 6. Nau Capital, LLC, Investment Related, Started 7-13-2015, Approx 40 hrs/mo, 20 during trading hours, 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, Nature: Sales of non-securities insurance products, Title: CEO & Owner/Member of LLC, Duties: Meet with clients involving the sale of non-securities life insurance products. 7. ELITE PRODUCER GROUP; POSITION: member NATURE: Life insurance industry producer group for sales of non-securities life insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/19/2022 ADDRESS: 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231, DESCRIPTION: Sales of non-securities life insurance. 8. Overrides on Indexed Annuities; Not investment related; 3512 Paesanos Parkway, Suite 200, SAN ANTONIO TX 78231; Nature of OBA: Facilitate the access to fixed indexed annuities for Sanger & Altgelt, LLC, a property and casualty insurance agency. The fixed indexed annuities will be sold solely by agents of Sanger & Altgelt, LLC. Any overrides will be payable to Nau Capital, LLC.; Posn/Title/Relationship: CEO of Nau Capital ,LLC; Start Date: 10/30/24; Approx Hrs/Mth for OBA: 2 Hrs; Hrs/Mth during trading hrs: 1 Hr; Duties: Provide fixed indexed annuity illustrations to agents of Sanger & Altgelt, LLC.

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-08-16