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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-14 |
Branch Locations
828 San Pablo Avenue Suite 203, Albany, CA 94706 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foothill Securities, Inc. | Albany | CA | 05/1999 | 12/2016 |
| Kaiser Permanente | Oakland | CA | 02/2015 | 01/2018 |
| Securities America, Inc. | Albany | CA | 12/2016 | 06/2024 |
| Securities America Advisors, Inc. | La Vista | NE | 12/2016 | 06/2024 |
| Osaic Wealth, Inc. | Albany | CA | 06/2024 | Present |
| Osaic Wealth, Inc. | Albany | CA | 06/2024 | Present |
1. COMMONWEALTH ANNUITY POSITION: Registered Rep on the account NATURE: Three insurance policies were transferred into my account from William Donovan, who is retiring from the securities business. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/24/2019 ADDRESS: PO Box 758554, Topeka CA 66610, United States DESCRIPTION: I did not sell the policies as I inherited these 3 accounts. I handle mainly the investments (non-life insurance) for these clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1987-10-19 |
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