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2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-29 |
| AZ | RA | APPROVED | 2023-05-24 |
| MN | RA | APPROVED | 2023-05-23 |
| SC | RA | APPROVED | 2023-05-23 |
| FL | RA | APPROVED | 2023-05-22 |
| MI | RA | APPROVED | 2023-05-22 |
| OH | RA | APPROVED | 2023-05-21 |
| CA | RA | APPROVED | 2023-05-19 |
| IL | RA | APPROVED | 2023-05-19 |
| KS | RA | APPROVED | 2023-05-19 |
| VA | RA | APPROVED | 2023-05-19 |
| WA | RA | APPROVED | 2023-05-19 |
| CO | RA | APPROVED | 2023-05-18 |
| ID | RA | APPROVED | 2023-05-18 |
| NE | RA | APPROVED | 2023-05-18 |
Branch Locations
5875 Lehman Dr Suite 200, Colorado Springs, CO 80918 • United States
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Spc | Ann Arbor | MI | 10/2005 | 05/2023 |
| Parkland Securities | Ann Arbor | MI | 08/2014 | 05/2023 |
| Triad Advisors | Norcross | GA | 05/2023 | 08/2024 |
| Triad Hybrid Solutions | Norcross | GA | 05/2023 | Present |
| Osaic Wealth, Inc. | Colorado Springs | CO | 08/2024 | Present |
1. Ascent Financial Group;investment related;5875 Lehman Dr,Suite 200,Colorado Springs,CO 80918;llc;owner/founder/wealth advisor;8/20/2005;150 hrs/month;130 hrs during trading;acquire new clients,do financial plans,provide investment solutions through managed accounts,mutual funds,ETFs,fixed and variable annuities,advise on life insurance and long term care insurance 2. Ascent Insurance Consultants,LLC;investment related;5875 Lehman Dr,Suite 200,Colorado Springs,CO 80918;term,whole life,universal life,long term care;owner;6/27/2019;10 hrs/month;2 hrs during trading;selling of fixed life insurance policies and long term care insurance 3. Barton Tower LLC;investment related;5875 Lehman Dr,Suite 200,Colorado Springs,CO 80918;sole member of an llc that owns and leases offices in the office building;owner of office building;8/1/2005;5 hrs/month;1 hr during trading;own and operate office building with 9 tenants,write & review leases,collect and deposit rent,coordinate building repairs,fix small items,complete tax forms for entity each year,communicate with tenants,pay bills 4. BARTON TOWER LLC POSITION: owner of office building NATURE: sole member of an llc that owns and leases offices in the office building INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2005 ADDRESS: 5875 Lehman Dr, Suite 200, Colorado Springs CO 80918, United States DESCRIPTION: own and operate office building with 9 tenants,write & review leases,collect and deposit rent,coordinate building repairs,fix small items,complete tax forms for entity each year,communicate with tenants,pay bills 5. ASCENT INSURANCE CONSULTANTS,LLC POSITION: owner NATURE: term,whole life,universal life,long term care INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 06/27/2019 ADDRESS: 5875 Lehman Dr, Suite 200, Colorado Springs CO 80918, United States DESCRIPTION: selling of fixed life insurance policies and long term care insurance 6. ASCENT FINANCIAL GROUP POSITION: owner/founder/wealth advisor NATURE: llc INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 130 START DATE: 08/20/2005 ADDRESS: 5875 Lehman Dr, Suite 200, Colorado Springs CO 80918, United States DESCRIPTION: acquire new clients,do financial plans,provide investment solutions through managed accounts,mutual funds,ETFs,fixed and variable annuities,advise on life insurance and long term care insurance 7. ASCENT FINANCIAL GROUP POSITION: TRUSTEE NATURE: ACTING TRUSTEE ON FAMILY QTIP TRUST, BARTON FAMILY QTIP TRUST DATED 6/21/24 INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 06/21/2024 ADDRESS: 5875 LEHMAN DR, SUITE 200, COLORADO SPRINGS CO 80918, United States DESCRIPTION: MANAGING FAMILY TRUST
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1990-02-27 |
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