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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-14 |
Branch Locations
2614 Boston Post Rd East Hall - Ste 32B, Guilford, CT 06437 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Guilford | CT | 03/2006 | 10/2017 |
| Securities America Inc. | Guilford | CT | 10/2017 | 06/2024 |
| Securities America Advisors | Guilford | CT | 10/2017 | 06/2024 |
| Osaic Wealth, Inc. | Guilford | CT | 06/2024 | Present |
| Osaic Wealth, Inc. | Guilford | CT | 06/2024 | Present |
1. Name: NA Position: Trustee Nature: Trust/Executor Services Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 04/01/2009 Address: 2614 Boston Post Rd, Guilford CT 06437 Description: Trustee to parents trusts and Executor of Wills 2. Name: Insurance Agent Position: Insurance agent Nature: Insurance Agent Investment Related: No Hours: 5 Securities Trading Hours: 5 Start Date: 06/01/2006 Address: 2614 Boston Post Rd, Ste. 32B, Guilford CT 06437 Description: Provide advice, quotes and write insurance related products to clients and potential clients 3. Name: Executor Position: Trustee Nature: Executor Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 04/01/2009 Address: 2614 Boston Post Rd, Guilford CT 06437 Description: Executor of Estates of Daniel & Diane Dolan 4. Clearview Wealth Management - DBA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-01 |
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