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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-02-09 |
| NC | RA | APPROVED | 2024-02-08 |
| TX | RA | APPROVED | 2024-02-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Valic Financial Advisors | Houston | TX | 12/1986 | 02/2024 |
| Agia | Houston | TX | 12/2022 | 02/2024 |
| Osaic Wealth, Inc. | Chapel Hill | NC | 02/2024 | Present |
1. BEACH HOUSE POSITION: owner NATURE: this is a second home, rarely rented. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2009 ADDRESS: 5710 beachview lane, emerald isle NC 28594, United States DESCRIPTION: home owner 2. GROSSMITTL POSITION: owner NATURE: rental property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2010 ADDRESS: 900 lystra lane, chapel hill NC 27517, United States DESCRIPTION: manage property 3. MUSICIAN POSITION: musician NATURE: I play in a band- minimal comp, usually expenses INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/06/2020 ADDRESS: 900 lystra la, chapel hill NC 27517, United States DESCRIPTION: drummer 4. AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products 5. GROSSMITTL LLC POSITION: manager/owner NATURE: Rental Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2010 ADDRESS: 900 lystra lane, chapel hill NC 27517, United States DESCRIPTION: manage rental real estate 6. JAZZ MUSICIAN POSITION: drummer NATURE: jazz bands INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2017 ADDRESS: 900 Lystra Lane, Chapel Hill NC 27517, United States DESCRIPTION: drummer in jazz bands 7. GROSSMITTL2 POSITION: owner NATURE: vacation real estate home INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/29/2013 ADDRESS: 900 lystra lane, chapel hill NC 27517, United States DESCRIPTION: vacation home- upkeep of property 8. KINGS MILL WEALTH ADVISORS POSITION: I CONDUCT SECURITIES AND VARIABLE INSURANCE BUSINESS UNDER THIS BUSINESS NAME NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/08/2024 ADDRESS: 900 Lystra Lane, Chapel Hill NC 27517, United States DESCRIPTION: Sales/Marketing of securities and variable ins products
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-23 |
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