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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-24 |
| AZ | RA | APPROVED | 2024-07-02 |
Branch Locations
15215 South 48Th Street Suite 170, Phoenix, AZ 85044 • United States
15215 S 48Th Street #170, Phoenix, AZ 85044 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2012-07-26 |
Branch Locations
15215 S 48Th Street #170, Phoenix, AZ 85044 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Phoenix | AZ | 01/2009 | 11/2017 |
| Lpl Financial Llc | Phoenix | AZ | 11/2017 | 04/2018 |
| Sagepoint Finanical, Inc. | Phoenix | AZ | 04/2018 | 09/2023 |
| Osaic Wealth, Inc. | Tempe | AZ | 09/2023 | 07/2024 |
| Krueger Financial Services | Phoenix | AZ | 06/1991 | Present |
| Commonwealth Financial Network | San Diego | CA | 07/2024 | Present |
1. Fixed insurance sales; as of 11/23/1998; 1% of time spent during business hours; Conducted at branch location; Investment related. 2. IAR of Krueger Financial Services offering financial planning services; 1% of time spent during business hours; conducted at branch location; investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-01-10 |
| S65 | Uniform Investment Adviser Law Examination | 1998-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-28 |
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