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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-14 |
Branch Locations
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 |
|---|---|---|---|---|
| National Planning Corporation | St. Pete Beach | FL | 06/2006 | 10/2017 |
| Securities America Inc. | St. Petersburg | FL | 10/2017 | 06/2024 |
| Securities America Advisors | St. Petersburg | FL | 10/2017 | 06/2024 |
| Osaic Wealth, Inc. | St. Petersburg | FL | 06/2024 | Present |
| Osaic Wealth, Inc. | St. Petersburg | FL | 06/2024 | Present |
Name: Carole A. Rainey Tax Service Position: Tax Preparer Nature: Tax Preparation Service Investment Related: No Hours: 15 Securities Trading Hours: 0 Start Date: 11/15/2007 Address: 6635 1st Avenue South, St. Petersburg FL 33707, United States Description: Preparing Federal and State Tax Returns for my clients. Name: Carole A. Rainey Position: IAR Nature: Advisory Business Investment Related: Yes Hours: 40 Securities Trading Hours: 40 Start Date: 10/18/2017 Address: 6635 1st Avenue South, St. Petersburg FL 33707, United States Description: Provide Advisory services to clients Name: Carole A. Rainey Position: Insurance Agent Nature: Insurance Investment Related: Yes Hours: 5 Securities Trading Hours: 5 Start Date: 02/01/2001 Address: 6635 1st Avenue South, St. Petersburg FL 33707, United States Description: Providing Fixed Annuities and, on occasion, term life insurance.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-05 |
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