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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2024-10-01 |
| WA | RA | APPROVED | 2024-06-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc. | Seattle | WA | 02/1987 | 11/2020 |
| Securities America, Inc. | Seattle | WA | 11/2020 | 06/2024 |
| Securities America Advisors, Inc. | Seattle | WA | 11/2020 | 06/2024 |
| Osaic Wealth, Inc. | Portland | OR | 06/2024 | Present |
1. ERIC WESTBERG POSITION: Producer NATURE: Insurance and annuity sales through Highland Capital Brokerage INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2022 ADDRESS: 419 NE 71ST ST, APT 517, Seattle WA 98115 DESCRIPTION: I offer and sometimes sell insurance products including term life, fixed annuities and LTC 2. MOSS MOUNTAIN SERVICES POSITION: Owner/operator NATURE: Offering consulting services to independent financial professionals. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/17/2021 ADDRESS: 419 NE 71ST ST, APT 517, Seattle WA 98115, United States DESCRIPTION: Offering business consulting services for a fee to independent financial professionals, many of whom I have known for a decade or two or more. 3. ZW FINANCIAL LLC DBA CASCADIA WEALTH ADVISORS POSITION: Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 04/09/2021 ADDRESS: 6420 S Macadam Avenue, Suite 360, Portland OR 97239, United States DESCRIPTION: ZW Financial LLC is owned by Mark Zellerhoff and Eric Westberg. We are both RRs and IARs of Osaic Wealth and we work together to serve our clients using the DBA of Cascadia Wealth Advisors. ZW Financial LLC is used to receive revenue and cover expenses related to our financial services practice which is conducted through Osaic. ZW Financial LLC is domiciled in Oregon.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1990-01-04 |
| S63 | Uniform Securities Agent State Law Examination | 1988-09-08 |
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