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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-11-03
  • NC RA
    APPROVED
    Since 2023-11-03

Branch Locations

Concord, NC • United States

603 N Main St, China Grove, NC 28023 • United States

6596 Roberta Road Suite A, Harrisburg, NC 28025 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed/Tax Preparer Charlotte NC 08/1982 Present
Fsc Securities Corporation Concord NC 02/2009 11/2023
Osaic Wealth, Inc. China Grove NC 11/2023 Present
  • 08/1982 → Present
    Self Employed/Tax Preparer
    Charlotte, NC
  • 02/2009 → 11/2023
    Fsc Securities Corporation
    Concord, NC
  • 11/2023 → Present
    China Grove, NC
Previous Registrations
  • 2009-02-27 → 2023-11-03
    Fsc Securities Corporation
    Concord, NC
    China Grove, NC
    Harrisburg, NC
  • 2008-07-29 → 2009-02-27
    Advantage Capital Corporation
    Concord, NC
Other Businesses

1) VICTORY WEALTH MANAGEMENT; INVESTMENT-RELATED; 603 N MAIN ST., CHINA GROVE 28023; OWNER; STARTED 06/03/2013; 800 HOURS/ 800 SECURITIES HOURS; I RECENTLY PURCHASED VICTORY WEALTH MANAGEMENT FROM MARY MOOSE. I WILL BE DOING THE SAME DUTIES AS I AM DOING FOR MY CURRENT CLIENTS UNDER STEP BY STEP FINANCIAL CONSULTANTS. FOR THE NEAR FUTURE I WILL BE KEEPING BOTH VICTORY WEALTH MANAGEMENT AND STEP BY STEP FINANCIAL CONSULTANTS AND WILL MAINTAIN BOTH BRANCH ADDRESSES. 2) VICTORY WEALTH MANAGEMENT, INC POSITION: OWNER NATURE: LLC INVESTMENT RELATED: YES NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/06/2013 ADDRESS: PO BOX 1146, CHINA GROVE NC 28023 DESCRIPTION: TAX PREPARATION 3) VICTORY WEALTH MANAGEMENT, INC POSITION: OWNER NATURE: LLC INVESTMENT RELATED: YES NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/06/2013 ADDRESS: PO BOX 1146, CHINA GROVE NC 28023 DESCRIPTION: LIFE INSURANCEMEDICARE SUPPLEMENT 4) MARGARET SUITE POSITION: EXEUTOR OF HIS ESTATE AT HIS DEATH NATURE: I am name as the Executor of the Estate for Robert T Poplin. He is my Life Partner. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/04/2026 ADDRESS: 5843 Gettysburg Dr NW, Concord NC 28027, United States DESCRIPTION: At his death, I will be the executor of his estate and handle his affairs per his will.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-07-28
S63 Uniform Securities Agent State Law Examination 1985-08-29
  • S65 Uniform Investment Adviser Law Examination
    2008-07-28
  • S63 Uniform Securities Agent State Law Examination
    1985-08-29
Other Names
  • Margaret Ellen Suite
  • Midge Suite
  • Margaret Ellen Suitearnold

View on SEC IAPD

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