Brian Basil Heapps

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2026-06-26
HI	RA	APPROVED	2025-05-08
AK	RA	APPROVED	2024-06-03
ID	RA	APPROVED	2024-06-03
KS	RA	APPROVED	2024-06-03
WV	RA	APPROVED	2024-03-19
CO	RA	APPROVED	2024-03-04
MD	RA	APPROVED	2024-03-04
MO	RA	APPROVED	2024-03-04
NE	RA	APPROVED	2024-03-04
RI	RA	APPROVED	2024-03-04
WI	RA	APPROVED	2024-03-04
MA	RA	APPROVED	2023-08-16
FL	RA	APPROVED	2023-07-31
CT	RA	APPROVED	2023-07-28
ME	RA	APPROVED	2023-07-28
MN	RA	APPROVED	2023-07-28
MS	RA	APPROVED	2023-07-28
NY	RA	APPROVED	2023-07-28
NC	RA	APPROVED	2023-07-28
OH	RA	APPROVED	2023-07-28
OR	RA	APPROVED	2023-07-28
PA	RA	APPROVED	2023-07-28
GA	RA	APPROVED	2021-05-25
SC	RA	APPROVED	2021-01-13
TX	RA	APPROVED	2019-07-30
MI	RA	APPROVED	2019-02-25
TN	RA	APPROVED	2018-11-09
CA	RA	APPROVED	2018-11-02
MT	RA	APPROVED	2018-11-02
NH	RA	APPROVED	2018-11-02
VA	RA	APPROVED	2018-11-02
WA	RA	APPROVED	2018-11-02

AZ RA
APPROVED

Since 2026-06-26
HI RA
APPROVED

Since 2025-05-08
AK RA
APPROVED

Since 2024-06-03
ID RA
APPROVED

Since 2024-06-03
KS RA
APPROVED

Since 2024-06-03
WV RA
APPROVED

Since 2024-03-19
CO RA
APPROVED

Since 2024-03-04
MD RA
APPROVED

Since 2024-03-04
MO RA
APPROVED

Since 2024-03-04
NE RA
APPROVED

Since 2024-03-04
RI RA
APPROVED

Since 2024-03-04
WI RA
APPROVED

Since 2024-03-04
MA RA
APPROVED

Since 2023-08-16
FL RA
APPROVED

Since 2023-07-31
CT RA
APPROVED

Since 2023-07-28
ME RA
APPROVED

Since 2023-07-28
MN RA
APPROVED

Since 2023-07-28
MS RA
APPROVED

Since 2023-07-28
NY RA
APPROVED

Since 2023-07-28
NC RA
APPROVED

Since 2023-07-28
OH RA
APPROVED

Since 2023-07-28
OR RA
APPROVED

Since 2023-07-28
PA RA
APPROVED

Since 2023-07-28
GA RA
APPROVED

Since 2021-05-25
SC RA
APPROVED

Since 2021-01-13
TX RA
APPROVED

Since 2019-07-30
MI RA
APPROVED

Since 2019-02-25
TN RA
APPROVED

Since 2018-11-09
CA RA
APPROVED

Since 2018-11-02
MT RA
APPROVED

Since 2018-11-02
NH RA
APPROVED

Since 2018-11-02
VA RA
APPROVED

Since 2018-11-02
WA RA
APPROVED

Since 2018-11-02

Branch Locations

Orlando, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Signator Investors, Inc.	Boston	MA	01/2007	07/2017
Signator Financial Services, Inc.	Bellevue	WA	10/2013	07/2017
Sii	Nashville	TN	07/2017	11/2018
Osaic Wealth Inc.	Nashville	TN	11/2018	Present

01/2007 → 07/2017

Signator Investors, Inc.

Boston, MA
10/2013 → 07/2017

Signator Financial Services, Inc.

Bellevue, WA
07/2017 → 11/2018

Sii

Nashville, TN
11/2018 → Present

Osaic Wealth Inc.

Nashville, TN

Previous Registrations

2000-04-26 → 2018-11-02

Signator Investors, Inc.

Boston, MA

Allentown, PA

Boston, MA

Nashville, TN

Salem, NH

Gold River, CA

Other Businesses

1. GENX FINANCIAL LLC POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 09/01/2017 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: GenxFinancial LLC also facilitates payroll and benefits for employees I am also general Manager and owner of GenXFinancial start 9/1/17 2. INNOVATIVE FINANCIAL GROUP POSITION: President NATURE: DBA for OBA GenXFinancial LLC and used with public for Broker Dealer and CRIA buiness. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2018 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: Oversee the daily business activities of the OSJ 3. INNOVATIVE FINANCIAL GROUP LLC POSITION: President NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/26/2025 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: LLC business unit that will serve the financial advisors who are affiliated with the OSJ under a previously approved DBA, Innovative Financial Group. 6. SELLMYFINANCIALPRACTICE POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 12/01/2020 ADDRESS: 2908 Poston Ave, Suite 1, Nashville TN 37203, United States DESCRIPTION: Executive management of all business operations. 7. B. A. LEGACY HOLDINGS LLC POSITION: President NATURE: LLC with S Corp Tax Status INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 12/24/2024 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: This company will be a conduit for overhead expenses of the Innovative Wealth Team and not held out to public. 8. MH RETAIL HOLDINGS LLC POSITION: Managing Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/18/2025 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: Formal agreement of the ownership of the Innovative Wealth Team business between Robert Mitchell and Brian Heapps 9. MH RETAIL HOLDINGS LLC POSITION: managing partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/18/2025 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: Formal agreement of the ownership of Innovative Wealth Team business between Robert Mitchell and Brian Heapps 10. SELL MY FINANCIAL PRACTICE POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 12/01/2020 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: Executive management of all business operations. 11. MH IFG HOLDINGS LLC POSITION: managing partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/18/2025 ADDRESS: 12575 Faraday Lane, Orlando FL 32837, United States DESCRIPTION: Formalize partnership agreement between Brian Mitchell and Brian Heapps 12. OSAIC INNOVATIVE WEALTH TEAM POSITION: Managing Director NATURE: C Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/09/2025 ADDRESS: 3200 Windy Ridge Parkway, Suite 750, Atlanta GA 30339, United States DESCRIPTION: Day to day operations and oversight 13. INNOVATIVE FINANCIAL GROUP POSITION: President NATURE: DBA for OBA GenXFinancial LLC and used with public for Broker Dealer and CRIA business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2018 ADDRESS: 12575 Faraday Lane, Orlando FL 32827, United States DESCRIPTION: Oversee the daily business activities of the OSJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-03-30
S63	Uniform Securities Agent State Law Examination	1987-07-27

S65 Uniform Investment Adviser Law Examination

1999-03-30
S63 Uniform Securities Agent State Law Examination

1987-07-27

Designations

View on SEC IAPD