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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| 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 |
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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 1987-02-09 |
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