David Spaulding Brookes

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-09-01

CA RA
APPROVED

Since 2023-09-01

Branch Locations

9820 Willow Creek Road Suite 243, San Diego, CA 92131 • 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
Sagepoint Financial, Inc	San Diego	CA	01/2009	Present
Osaic Wealth, Inc.	San Diego	CA	09/2023	Present

01/2009 → Present

Sagepoint Financial, Inc

San Diego, CA
09/2023 → Present

Osaic Wealth, Inc.

San Diego, CA

Previous Registrations

2017-10-10 → 2023-09-01

Osaic Services, Inc.

Phoenix, AZ

San Diego, CA

Other Businesses

DAVID S. BROOKES POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/31/2005 ADDRESS: 9820 Willow Creek Road, Suite 243, San Diego CA 92131, United States DESCRIPTION: Term Life Insurance, Varible Annuties

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-10-04
S63	Uniform Securities Agent State Law Examination	1990-11-08

S66 Uniform Combined State Law Examination

2017-10-04
S63 Uniform Securities Agent State Law Examination

1990-11-08

View on SEC IAPD

Current Employers

Osaic Wealth, Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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