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155 E Rivulon Blvd Suite 304, Gilbert, AZ 85297 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2014-02-26 |
Branch Locations
155 E Rivulon Blvd Suite 304, Gilbert, AZ 85297 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Planners' Financial Services | Scottsdale | AZ | 06/2013 | Present |
| Seros Financial, Llc | Tempe | AZ | 02/2014 | Present |
| Newmark Capital Managment, Llc | Tempe | AZ | 05/2010 | 12/2020 |
| Seros Financial, Llc | Tempe | AZ | 07/2011 | Present |
| Notary Public | Tempe | AZ | 08/1999 | Present |
| Sherod Norton Bigelow | Tempe | AZ | 01/2011 | Present |
1.) SHEROD NORTON BIGELOW - PRODUCER - NON-VARIABLE INSURANCE - TEMPE, AZ - SINCE 01/2011 - INVESTMENT RELATED 2.) NOTARY PUBLIC - NOTARY - STATE OF ARIZONA NOTARY PUBLIC - TEMPE, AZ - SINCE 08/1999 - NOT INVESTMENT RELATED 3.) SEROS FINANCIAL, LLC - OFFICE MANAGER - GENERAL CLERICAL SUPPORT, BOOKKEEPING AND CUSTOMER SERVICE - TEMPE, AZ - SINCE 07/2011 - INVESTMENT RELATED 4.) SEROS FINANCIAL, LLC - CHIEF COMPLIANCE OFFICER & PRINCIPAL - REGISTERED INVESTMENT ADVISOR - TEMPE, AZ - SINCE 02/2014 - INVESTMENT RELATED 5.) SEROS FINANCIAL - SERVICE TEAM - DBA NAME FOR MARKETING PURPOSES ONLY - TEMPE, AZ - SINCE 08/2022 - INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-05 |
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