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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2024-06-14
  • MT RA
    APPROVED
    Since 2024-06-14

Branch Locations

2404 Main St, Miles City, MT 59301 • United States

1707 Main St, Miles City, MT 59301 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Avantax Investment Services, Inc. Miles City MT 04/2021 11/2023
Avantax Advisory Services Miles City MT 04/2021 11/2023
Professional Financial Services Llc Miles City MT 06/2017 Present
Stockman Bank Of Montana Miles City MT 01/2016 06/2017
Securities America, Inc Miles City MT 12/2023 06/2024
Securities America Advisors Miles City MT 12/2023 06/2024
Osaic Wealth, Inc. Miles City MT 06/2024 Present
Osaic Wealth, Inc. Miles City MT 06/2024 Present
  • 04/2021 → 11/2023
    Avantax Investment Services, Inc.
    Miles City, MT
  • 04/2021 → 11/2023
    Avantax Advisory Services
    Miles City, MT
  • 06/2017 → Present
    Professional Financial Services Llc
    Miles City, MT
  • 01/2016 → 06/2017
    Stockman Bank Of Montana
    Miles City, MT
  • 12/2023 → 06/2024
    Securities America, Inc
    Miles City, MT
  • 12/2023 → 06/2024
    Securities America Advisors
    Miles City, MT
  • 06/2024 → Present
    Miles City, MT
  • 06/2024 → Present
    Miles City, MT
Previous Registrations
  • 2023-12-12 → 2024-06-14
    Securities America Advisors, Inc.
    Miles City, MT
  • 2021-08-27 → 2024-02-07
    Avantax Advisory Services
    Miles City, MT
Other Businesses

THE BARK LLC POSITION: Partner NATURE: Animal Hospitality INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 1611 Gordon, Miles City MT 59301 DESCRIPTION: Walk dogs, feed dogs, and let them out while their owners are away PROFESSIONAL FINANCIAL SERVICES LLC POSITION: Manager NATURE: Tax and Accounting Practice INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 06/09/2017 ADDRESS: 1707 Main St, PO Box 1021, Miles City MT 59301 DESCRIPTION: Prepare and file yearly tax returns, Monthly bookkeeping, and payroll. THE GOAL POST LLC POSITION: Owner NATURE: Concessions for youth programs INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 1412 N Custer Ave, Miles City MT 59301 DESCRIPTION: I provide food concessions for youth sporting events from September to November in the evenings.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-26
  • S66 Uniform Combined State Law Examination
    2021-08-26
Other Names
  • Karissa Ann Richard
  • Karissa A Nissen
  • Karissa A Richard
  • Kari A Richard
  • Kari Richard

View on SEC IAPD

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