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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 | 2012-07-16 |
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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Seia Llc | Newport Beach | CA | 07/2012 | Present |
| Jhfn Sii | Los Angeles | CA | 07/2012 | 11/2018 |
| Royal Alliance Associates, Inc. | Newport Beach | CA | 11/2018 | 08/2023 |
| Ses Inc. | Newport Beach | CA | 08/2023 | Present |
1) SEIA LLC POSITION: Financial Advisor NATURE: RIA INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/11/2012 ADDRESS: 610 Newport Center Dr Ste 300, Suite 300, NEWPORT BEACH CA 92660, United States DESCRIPTION: RIA sales & service 2) INSURANCE LICENSE - PRODUCER POSITION: Insurance License Holder NATURE: Insurance sales & service. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 09/11/2012 ADDRESS: 610 Newport Center Dr. Ste 300, Suite 300, NEWPORT BEACH CA 92660, United States DESCRIPTION: Insurance sales and service consistent with financial planning.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2012-10-11 |
| S65 | Uniform Investment Adviser Law Examination | 2008-03-21 |
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