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34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-07-13 |
Branch Locations
611 Anton Blvd. Suite 200, Costa Mesa, CA 92626 • United States
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-09 |
| TX | RA | APPROVED | 2025-12-08 |
Branch Locations
Laguna Hills, CA • United States
611 Anton Blvd Ste 200, Costa Mesa, CA 92626 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer | Los Angeles | CA | 04/2011 | 09/2021 |
| Robert Ekhaml | San Diego | CA | 10/2021 | 12/2021 |
| Tanglewood | La Quinta | CA | 12/2019 | 04/2024 |
| Northwestern Mutual Investment Services Llc | San Diego | CA | 09/2021 | 04/2023 |
| Charles Schwab & Co., Inc | San Diego | CA | 05/2023 | 06/2023 |
| Cuso Financial Services Lp. | San Diego | CA | 04/2023 | 09/2025 |
| Grove Point Investments, Llc | Rockville | MD | 08/2024 | 09/2025 |
| Lpl Financial Llc | San Diego | CA | 09/2025 | 11/2025 |
| Ameriprise Financial Services, Llc | Costa Mesa | CA | 11/2025 | Present |
| Western International Securities, Inc. | San Diego | CA | 04/2024 | 09/2025 |
| Sorrento Pacific Financial, Llc | San Diego | CA | 04/2024 | 09/2025 |
| Scf Securities, Inc. | San Diego | CA | 04/2024 | 09/2025 |
| Next Financial Group, Inc. | San Diego | CA | 04/2024 | 09/2025 |
| Cuso Financial Services, L.P. | San Diego | CA | 04/2024 | 09/2025 |
| Cadaret, Grant & Co., Inc. | San Diego | CA | 04/2024 | 09/2025 |
| Fifth Third Securities | Costa Mesa | CA | 07/2026 | Present |
Business Ownership; TANGLEWOOD PROPERTIES; Owner; Real Estate; 54673 TANGLEWOOD, , LA QUINTA, CO, 92253; Not Investment-Related; 12/01/2019; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1991-05-22 |
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