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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2024-06-14 |
Branch Locations
4501 Minnetonka Blvd Suite 200, St Louis Park, MN 55416-4091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | St Louis Park | MN | 01/2015 | 06/2024 |
| Securities America Advisors | St Louis Park | MN | 03/2018 | 06/2024 |
| Arbor Point Advisors | St Louis Park | MN | 03/2018 | 05/2024 |
| Osaic Wealth, Inc. | St Louis Park | MN | 06/2024 | Present |
| Osaic Wealth, Inc. | St Louis Park | MN | 06/2024 | Present |
1. DIVERSIFIED WEALTH MANAGEMENT - DBA 2. INSURANCE OBA POSITION: OSJ Principal NATURE: INSURANCE SALES - AGENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/01/2004 ADDRESS: 4501 Minnetonka Blvd Suite 200, St Louis Park MN 55416 DESCRIPTION: I supervise reps that sell insurance 3. DIVERSIFIED WEALTH MANAGEMENT POSITION: OSJ Principal NATURE: OSJ INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/26/2015 ADDRESS: 4501 Minnetonka Blvd Suite 200, St Louis Park MN 55416, United States DESCRIPTION: Supervises and supports representatives within our OSJ as an OSJ principal designee by ensuring policies and procedures are effectively communicated and are being implemented, reviews and ensures resolution of items in the suitability and transaction systems and monitors surveillance escalations and exception reports for potential sales practice violations and takes corrective action when necessary. 4. NOTARY POSITION: Notary NATURE: Provide Notary Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/18/2024 ADDRESS: 4501 Minnetonka Blvd Ste 200, ST LOUIS PARK MN 55416-5450, United States DESCRIPTION: Witness signatures and perform the notarial act 5. INSURANCE OBA POSITION: OSJ Designee NATURE: 2) INSURANCE SALES - AGENT - START DATE: 08/2004 - LOCATED AT 4501 MINNETONKA BLVD SUITE 200, ST LOUIS PARK, MN 55416-4091 INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/01/2004 ADDRESS: 4501 Minnetonka Blvd Suite 200, St Louis Park MN 55416, United States DESCRIPTION: I supervise reps that sell insurance
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-03 |
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