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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-04
OK RA APPROVED 2018-11-02
  • TX RA
    APPROVED_RES
    Since 2019-01-04
  • OK RA
    APPROVED
    Since 2018-11-02

Branch Locations

2932 Nw 122Nd St Suite 19, Oklahoma City, OK 73120 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Benchmark Financial Oklahoma City OK 07/1985 Present
Sii Oklahoma City OK 04/2014 11/2018
Royal Alliance Associates, Inc. Oklahoma City OK 11/2018 Present
  • 07/1985 → Present
    Benchmark Financial
    Oklahoma City, OK
  • 04/2014 → 11/2018
    Sii
    Oklahoma City, OK
  • 11/2018 → Present
    Royal Alliance Associates, Inc.
    Oklahoma City, OK
Previous Registrations
  • 2014-06-17 → 2018-11-02
    Signator Investors, Inc.
    Oklahoma City, OK
    Oklahoma City, OK
  • 2002-09-30 → 2014-01-03
    Ameritas Investment Company, Llc
    Oklahoma City, OK
    Lincoln, NE
  • 2001-10-30 → 2002-08-27
    Oklahoma City, OK
Other Businesses

1) BENCHMARK FINANCIAL GROUP, LLC POSITION: President NATURE: Benchmark Financial Group, LLC is an LLC Oklahoma Based Corp. It is an insurance agency, and an employee benefits agency. INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 25 START DATE: 06/01/2018 ADDRESS: 2932 NW 122 #19, Oklahoma City OK 73120, United States DESCRIPTION: Agency Management, Supervision and Marketing. 2) BENCHMARK FINANCAL GROUP LLC POSITION: President NATURE: We are an LLC Insurance Agency. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/07/1985 ADDRESS: 2932 NW 122, Suite 19, Oklahoma City OK 73120, United States DESCRIPTION: Marketing, Sales and Administration. 3) BENCHMARK FINANCIAL GROUP, LLC POSITION: President NATURE: Benchmark Financial Group, LLC is an LLC Oklahoma Based Corp. It is an insurance agency, and an employee benefits agency. INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 25 START DATE: 06/01/2018 ADDRESS: 2932 NW 122 #19, Oklahoma City OK 73120, United States DESCRIPTION: Agency Management, Supervision and Marketing.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-22
S63 Uniform Securities Agent State Law Examination 1986-11-20
  • S65 Uniform Investment Adviser Law Examination
    1997-05-22
  • S63 Uniform Securities Agent State Law Examination
    1986-11-20
Other Names
  • Jim D Duncan
  • Jimmy Dean Duncan

View on SEC IAPD

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