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2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-23 |
| LA | RA | APPROVED | 2019-03-27 |
| TX | RA | APPROVED | 2019-03-27 |
Branch Locations
610 Newport Center Dr. Suite 300, Newport Beach, CA 92660 • United States
2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • 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 |
|---|---|---|---|---|
| Signator Investors, Inc. | Boston | MA | 05/1988 | 11/2018 |
| Seia Llc | Beverly Hills | CA | 04/1997 | Present |
| Royal Alliance Associates, Inc. | Newport Beach | CA | 11/2018 | Present |
| Ses Inc. | Newport Beach | CA | 08/2023 | Present |
POSITION: Insurance License Holder NATURE: Insurance sales & service. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 11/21/1997 ADDRESS: 2121 Avenue of the Stars, Suite 1600, Los Angeles CA 90067, United States DESCRIPTION: Insurance sales and service consistent with financial planning. SEIA POSITION: Senior Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 01/01/1997 ADDRESS: 610 Newport Center Drive, Suite 300, Newport Beach CA 92660, United States DESCRIPTION: Senior Partner, Financial Advisor, sale of Life Insurance, LTC and Annuitiy products when applicable to clients.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-11-17 |
| S65 | Uniform Investment Adviser Law Examination | 1998-10-20 |
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