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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2015-07-28 |
Branch Locations
1233 N Mayfair Road Suite 211, Milwaukee, WI 53226 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Investment Co. Inc | Milwaukee | WI | 11/1989 | Present |
| Osaic Wealth, Inc. | Milwaukee | WI | 03/2015 | Present |
1. FOREST VIEW FINANCIAL; POSITION: Insurance Agent NATURE: I have a life insurance license, and while I intend to run 100% of my insurance sales through the company, I was told at a recent exam that I needed to declare this as an outside business activity because I have the ability to do insurance business outside of the firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/09/2015; ADDRESS: 1233 N Mayfair Rd #211, Milwaukee WI 53226; DESCRIPTION: life insurance sales 2. NONE POSITION: notary public NATURE: I am a notary public. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2024 ADDRESS: 1233 N Mayfair Rd Ste 211, Milwaukee WI 53226, United States DESCRIPTION: Am able to notarize documents if needed
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-03-07 |
| S63 | Uniform Securities Agent State Law Examination | 1985-08-05 |
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