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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-14 |
| MN | RA | APPROVED | 2024-06-14 |
| TX | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Winona | MN | 02/2014 | 09/2018 |
| Securities America, Inc. | Winona | MN | 09/2018 | 06/2024 |
| Securities America Advisors | Winona | MN | 09/2018 | 06/2024 |
| Osaic Wealth, Inc. | Winona | MN | 06/2024 | Present |
***Financial Services of Winona - DBA ***HPA PROPERTIES, LLC POSITION: Building owner NATURE: Real estate building purchase to be used for my practice...160 Lafayette Street, Winona, MN. (Closing date is to be 9/10/19). I will be renting office space to two attorneys, generating revenue of $1,000/month. Their space will be separate from my practice. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/10/2019 ADDRESS: 160 Lafayette Street, Winona MN 55987 DESCRIPTION: I will own a piece of real estate property in Winona, MN and use it as my office. ***INSURANCE AND FIXED ANNUITY SALES. POSITION: insurance Sales NATURE: Insurance and fixed annuity sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/19/1998 ADDRESS: 160 Lafayette Street, Winona MN 55987 DESCRIPTION: Insurance and fixed annuity sales to clients. ***DBA FINANCIAL SERVICES OF WINONA POSITION: Proprietor NATURE: Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/06/2018 ADDRESS: 160 Lafayette Street, winona MN 55987, United States DESCRIPTION: This OBA entry is for DBA Financial Services of Winona, which involves all the activities affiliated with my Financial Planning practice under Osaic Wealth.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-15 |
| S63 | Uniform Securities Agent State Law Examination | 1986-06-13 |
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