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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2026-03-06 |
| NM | RA | APPROVED | 2024-09-25 |
| AR | RA | APPROVED | 2023-11-03 |
| CA | RA | APPROVED | 2023-11-03 |
| CT | RA | APPROVED | 2023-11-03 |
| DC | RA | APPROVED | 2023-11-03 |
| FL | RA | APPROVED | 2023-11-03 |
| GA | RA | APPROVED | 2023-11-03 |
| IL | RA | APPROVED | 2023-11-03 |
| IN | RA | APPROVED | 2023-11-03 |
| KY | RA | APPROVED | 2023-11-03 |
| MA | RA | APPROVED | 2023-11-03 |
| MI | RA | APPROVED | 2023-11-03 |
| MN | RA | APPROVED | 2023-11-03 |
| MO | RA | APPROVED | 2023-11-03 |
| NV | RA | APPROVED | 2023-11-03 |
| NC | RA | APPROVED | 2023-11-03 |
| OH | RA | APPROVED | 2023-11-03 |
| SC | RA | APPROVED | 2023-11-03 |
| TX | RA | APPROVED | 2023-11-03 |
| UT | RA | APPROVED | 2023-11-03 |
| WA | RA | APPROVED | 2023-11-03 |
| WV | RA | APPROVED | 2023-11-03 |
| WI | RA | APPROVED | 2023-11-03 |
Branch Locations
2149 North Fairfield Road Suite# B, Beavercreek, OH 45431 • 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 |
|---|---|---|---|---|
| Fsc Securities Corporation | Beavercreek | OH | 01/1992 | 11/2023 |
| Osaic Wealth, Inc. | Beavercreek | OH | 11/2023 | Present |
1)-SGM Agencies, Inc / David A. Smith, CFP Position: Owner. Nature: Corporation. Investment Related: No Start Date: 01/01/2002 Address: 8605 N Dixie Dr. Suite C Dayton, OH 45414 Description: Solicit Insurance business through own agency. 2)-David A. Smith, CFP(r) Position: Owner. Nature: Sole Proprietorship. Investment Related: No Start Date: 01/01/1992 Address: 2149 N Fairfield Rd. Suite B Beavercreek, OH 45431 Description: Provide traditional (non-variable) Life insurance coverage, long term nursing home care, through FSC approved vendors such as TNBC, Capitus. 3)-David and Nancy Smith Position: Owner. Nature: Sole Proprietorship. Investment Related: No Address: 2149 N Fairfield Rd. Suite C Beavercreek, OH 45431 Description: Collecting rents, calling repair people when necessary, and accounting. 4)-Commercial rental real estate Position: Owner. Nature: Other - Joint ownership with myself and my wife. Investment Related: No Address: 2149 B&C N Fairfield Rd. Beavercreek, OH 45431 Description: Paying Bills, taxes, and collecting rents. 5)- SMITH, MOSES & COZAD, LLC POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1994 ADDRESS: 2149 North Fairfield Rd., Suite B, Beavercreek OH 45431 DESCRIPTION: The company is a DBA for our firm. The name changed in 2011 from Smith, Griesmeyer and Moses, LLC to Smith, Moses & Company LLC. This LLC is the dba and and operating company by which we market ourselves, as well as pay payroll to our employees, as well as provide employee benefits. My duties are to pay taxes, payroll, file taxes, and manage employee benefits. This OBA is a name update only to add Michael Cozad's name in the operating company. There was not a change of ownership, just an update to the companies name. 6)-EVERGREEN CIRCLE I, LLC POSITION: Owner NATURE: Evergreen Circle I, LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2020 ADDRESS: 2423 Valhalla Ct., Xenia OH 45385 DESCRIPTION: Rent, manage, and maintain the property in good working order. 7)-TRUSTEE FOR HENRY SMITH-HESTON POSITION: Trustee NATURE: Trustee for a trust established for the benefit of my Nephew who is a minor until he turns 25 years old. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/12/2021 ADDRESS: 2423 Valhalla Ct, Xenia OH 45385 DESCRIPTION: I was asked to perform Trustee duties for my nephew, Henry Smith-Heston. Duties include investing the gifted funds in a manner to which will have the potential for growth until Henry turns 25 years old. The donor's verbal request is that as his Uncle I would help in educating Henry in how to prudently invest his "pre-inheritance" prior to the erminaion of the trust - Age 25. Additionally, I entered into a Letter of Understanding with FSC Securities, and was given an exception for this activity on 07-12-2021. The investments in the trust account are not being managed or held by either myself as my role as FA-OSJ or any of FA's of which I supervise. 8) SMITH COZAD, LLC POSITION: President-Secretary NATURE: LLC, taxed as a partnership. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2026 ADDRESS: 2149 North Fairifeld RD, Suite B, Beavercreek OH 45431, United States DESCRIPTION: 1. Provide regulatory duties for the state of Ohio to remain compliant with state laws. (as Secretary) 2. Aide in the discussion of cash flows for business operations. (As president)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-06 |
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