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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc. | Seattle | WA | 12/1982 | 11/2020 |
| Ben Cain & Associates, Inc. | Edmonds | WA | 12/2002 | Present |
| Securities America, Inc. | Edmonds | WA | 11/2020 | 06/2024 |
| Securities America Advisors, Inc. | Edmonds | WA | 11/2020 | 06/2024 |
| Osaic Wealth, Inc. | Edmonds | WA | 06/2024 | Present |
| Osaic Wealth, Inc. | Edmonds | WA | 06/2024 | Present |
1. SAA POSITION: Advisor NATURE: Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/06/2020 ADDRESS: 21214 82nd PL W, Edmonds WA 98026 DESCRIPTION: I am advisory licensed, however, at this time, we do not hold or conduct any advisory business, we work only on commissions. 2. INSURANCE SERVICING POSITION: Original and/or Assigned Agent NATURE: Servicing of insurance policies INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/1981 ADDRESS: 21214 82nd PL W, Edmonds WA 98026, United States DESCRIPTION: I service existing policies for clients.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-01-12 |
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