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4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-08 |
| CA | RA | APPROVED | 2022-09-07 |
Branch Locations
5740 North Palm Avenue Suite 105, Fresno, CA 93704 • United States
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ae Wealth Management, Llc | Topeka | KS | 07/2017 | 09/2022 |
| Soutas Financial & Insurance Solutions, Inc. | Fresno | CA | 01/2016 | Present |
| Foundations Investment Advisors, Llc | Phoenix | AZ | 09/2022 | Present |
SOUTAS FINANCIAL & INSURANCE SOLUTIONS, INC. INVESTMENT RELATED. 5740 NORTH PALM AVENUE, SUITE 105, FRESNO, CA 93704. INSURANCE. OWNER/INSURANCE AGENT. 01/2016. 160 HOURS PER MONTH. 160 HOURS PER MONTH DURING SECURITIES TRADING HOURS. INSURANCE SALES. SOUTAS FINANCIAL & INSURANCE SOLUTIONS, INC. NOT INVESTMENT RELATED. 5740 NORTH PALM AVENUE, SUITE 105, FRESNO, CA 93704. MEDICAID PLANNING. OWNER/INSURANCE AGENT. 01/1997. LESS THAN 8 HOURS PER MONTH. LESS THAN 8 HOURS PER MONTH DURING SECURITIES TRADING HOURS. MOSTLY OVERSIGHT OF EMPLOYEES HANDLING THE MAIN BULK OF THE PLANNING & PROCESSING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-13 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-16 |
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