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Current Employers
Osaic Wealth, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2024-04-04
FL RA APPROVED 2024-04-02
MI RA APPROVED 2024-04-01
OH RA APPROVED 2024-04-01
TX RA APPROVED 2024-04-01
  • GA RA
    APPROVED
    Since 2024-04-04
  • FL RA
    APPROVED
    Since 2024-04-02
  • MI RA
    APPROVED
    Since 2024-04-01
  • OH RA
    APPROVED
    Since 2024-04-01
  • TX RA
    APPROVED
    Since 2024-04-01

Branch Locations

1645 Indian Wood Circle Suite 102, Maumee, OH 43537 • United States

205 W. Main Street, Morenci, MI 49256 • United States

311 N Winter Street, Adrian , MI 49221 • 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
Sigma Financial Corporation Ann Arbor MI 10/2008 04/2024
Spc Ann Arbor MI 10/2008 04/2024
Osaic Wealth, Inc. Maumee OH 04/2024 Present
  • 10/2008 → 04/2024
    Sigma Financial Corporation
    Ann Arbor, MI
  • 10/2008 → 04/2024
    Ann Arbor, MI
  • 04/2024 → Present
    Maumee, OH
Previous Registrations
  • 2008-10-24 → 2024-04-01
    Maumee, OH
    Ann Arbor, MI
    Adrian, MI
    Morenci, MI
  • 2006-11-28 → 2008-10-30
    Osaic Fa, Inc.
    Maumee, OH
    Southfield, MI
    Maumee, OH
    Bryan, OH
    Morenci, MI
  • 2005-04-21 → 2006-11-24
    Riga, MI
    Adrian, MI
Other Businesses

1. SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES. 2. MORENCI MI DOWNTOWN DEVELOPMENT AUTHORITY BOARD, MORENCI, MI - BOARD MEMBER. MEET QUARTERLY TO HELP CITY WITH ECONOMIC DEVELOPMENT AND VISUAL ASPECTS OF DOWNTOWN AREA. START DATE: 7/26/15. APPROX 1 HR/MO, NONE DURING TRADING HOURS. NOT INVESTMENT RELATED. 3. Member/Board of Directors - Kiwanis Club. Duties include meeting 2x/year to consider scholarship applications for local high school graduates. Start date: 11/1/15, approx. 2.5 hrs/mo. Not investment related. 4. FINANCE ADVISORY BOARD-BOWLING GREEN STATE UNIVERSITY POSITION: committee member NATURE: University INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2018 ADDRESS: 1001 E Wooster St, Bowling Green OH 43403 DESCRIPTION: One of 14 board members advising Finance Dept on curriculum focus and areas of improvement 5. GARROTH PROPERTIES, LLC POSITION: Owner NATURE: LLC owning Office property INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/10/2022 ADDRESS: 205 W Main, Morenci MI 49256 DESCRIPTION: 50% partner with Timothy Roth of the LLC,. Own commercial office space that is leased to Engler, Garrow & Roth. 6. MEMBER BOARD OF DIRECTORS OF MORENCI KIWANIS CLUB POSITION: Board Member NATURE: Corporation-non profit INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2015 ADDRESS: P.O. Box 84, Morenci MI 49256 DESCRIPTION: Board member duties include meeting 2xyear to consider scholarships applications for local high school graduates 7. MORENCI DOWNTOWN DEVELOPMENT AUTHORITY BOARD POSITION: Board Member NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 07/16/2015 ADDRESS: 118 Orchard St, Morenci MI 49256 DESCRIPTION: Meet quarterly to help city with economic development and visual aspects of downtown area. Also volunteer for setup/tear down of events. 8. MEMBER BOARD OF DIRECTORS OF MORENCI KIWANIS CLUB POSITION: Board Member NATURE: Corporation-non profit INVESTMENT RELATED: No NUMBER OF HOURS: 9 SECURITIES TRADING HOURS: 4 START DATE: 11/01/2015 ADDRESS: P.O. Box 84, Morenci MI 49256 DESCRIPTION: Board member duties include monthly meeting and involvement in volunteer activities. 9. GARO FARMING LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2009 ADDRESS: 17422 Cty Rd N, Wauseon OH 43567 DESCRIPTION: We farm 562 acres equally divided between corn and soybeans 10. ENGLER, GARROW & ROTH LTD POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2006 ADDRESS: 1645 Indian Wood Circle, Ste 102, Maumee OH 43537 DESCRIPTION: Sale of Various Insurance Products Through Various Insurance Companies 11. ENGLER, GARROW & ROTH LTD POSITION: Owner NATURE: LLC taxed as Sub Chapter S INVESTMENT RELATED: Yes NUMBER OF HOURS: 260 SECURITIES TRADING HOURS: 160 START DATE: 09/01/2006 ADDRESS: 1645 INDIAN WOOD CIR STE 102, Maumee OH 43537, United States DESCRIPTION: Investment Advisor Rep (IAR)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-07
S63 Uniform Securities Agent State Law Examination 1987-02-09
  • S66 Uniform Combined State Law Examination
    2004-06-07
  • S63 Uniform Securities Agent State Law Examination
    1987-02-09
Designations

View on SEC IAPD

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