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190 S Lasalle Street Suite 570, Chicago, IL 60603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-04-12 |
Branch Locations
3090 Bristol Street Suite 400, Costa Mesa, CA 92626 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Seaport Global Securities Llc | Newport Beach | CA | 09/2014 | Present |
| Seaport Global Holdings Llc | New York | NY | 01/2014 | 01/2020 |
| Ghs Trading Llc | Costa Mesa | CA | 09/2011 | 12/2017 |
| Seaport Research Partners Llc | Newport Beach | CA | 01/2020 | Present |
NAME: UNIVERSITY OF LA VERNE. INVESTMENT RELATED? YES. ADDRESS: 1950 THIRD ST. LA VERNE, CA 91750. NATURE OF BUSINESS: UNIVERSITY OF LA VERNE IS A NOT FOR PROFIT UNIVERSITY LOCATED IN LA VERNE, CA. POSITION/TITLE: BOARD INVESTMENT COMMITTEE ADVISORY MEMBER; COLLEGE OF BUSINESS ADVISORY BOARD MEMBER. START DATE OF RELATIONSHIP: 2014. APPROX HRS/MONTH DEVOTED TO OTHER BUSINESS: 1 APPROX HRS DURING TRADING HOURS: 0-1 DUTIES RELATED TO OTHER BUSINESS: PARTICIPATE IN MEETINGS AND DISCUSSIONS REGARDING ULV'S INVESTMENTS AND THE COLLEGE OF BUSINESS. MUSICIAN, THIS IS NOT AN INVESTMENT RELATED BUSINESS. MR. CABLE IS A MUSICIAN AND THE NATURE OF THE BUSINESS IS TO PERFORM, PRODUCE & RECORD MUSIC. THE APPROXIMATE TIME PER MONTH SPENT ON THIS IS 6 HOURS NONE OF WHICH ARE DURING TRADING HOURS. DUTIES INCLUDE, PERFORMING, WRITING, RECORDING AND PRODUCING MUSIC. HE RECEIVES COMPENSATION FOR PERFORMANCES OCCASIONALLY. NAME: ALPHASIGHTS INVESTMENT RELATED: NO ADDRESS: REMOTE NATURE: EXPERT NETWORK THAT CONNECTS THEIR CLIENTS WITH INDUSTRY EXPERTS TO GAIN KNOWLEDGE/INSIGHT ON THEIR FIELD OF WORK POSITION/TITLE: INDUSTRY EXPERT START DATE: 9/28/23 HRS/MONTH DEVOTED TO OTHER BUSINESS: 0-1 HRS/MONTH DURING BUSINESS HOURS: 0 DUTIES: PROVIDE GENERAL CONSULTING/EXPERTISE RELATED TO BUSINESS STRATEGY, OPERATIONS, AND MANAGEMENT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-29 |
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