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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2018-10-04 |
| AZ | RA | APPROVED | 2018-09-24 |
| CA | RA | APPROVED | 2018-09-24 |
| HI | RA | APPROVED | 2018-09-21 |
| TX | RA | APPROVED | 2018-09-21 |
Branch Locations
155 N. Lake Avenue Suite 700, Pasadena, CA 91101 • United States
200 New Stine Road Suite 150, Bakersfield, CA 93309 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Roger A Brown & Co, Llp | Pasadena | CA | 11/1982 | Present |
| 1St Global Capital Corp | Pasadena | CA | 12/2000 | 09/2018 |
| 1St Global Advisors, Inc | Pasadena | CA | 06/2001 | 09/2018 |
| 1St Global Insurance Services, Inc | Pasadena | CA | 10/2003 | 09/2018 |
| Osaic Wealth Inc | Pasadena | CA | 09/2018 | Present |
| Back Bay Funding, Inc. | Newport Beach | CA | 01/2003 | 12/2025 |
1) HEALTH AND COMMERICIAL INSURANCE POSITION: OWNER NATURE: HEALTH SALES RELATED TO PAYROLL PROCESSING INVESTMENT RELATED: NO NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: null START DATE: 12/01/2004 ADDRESS: Pasadena CA , United States DESCRIPTION: Insurance Sales 2) RABCO FINANCIAL & INSURANCE SERVICES, INC. POSITION: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 12/01/2004 ADDRESS: 155 N. Lake Ave suite 700, Pasadena CA 91101, United States DESCRIPTION: Provide financial services to clients. 3) RABCO INVESTORS, LLC POSITION: OWNER NATURE: BUILDING RENTAL INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1995 DESCRIPTION: Building rental 4) ROGER A BROWN & CO, LLP POSITION: Partner NATURE: Accounting firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/31/2013 ADDRESS: 2234 E. Colorado Blvd, Pasadena CA 91107, United States DESCRIPTION: I provide tax, audit and consulting services to individual and business clients 5) RABCO INVESTORS, LLC POSITION: Managing Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1995 ADDRESS: 155 N. Lake Ave., suite 700, Pasadena CA 91101, United States DESCRIPTION: Office building rental 6) ROGER A BROWN & CO POSITION: Partner NATURE: LLP (Limited Liability Partnership) INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 16 START DATE: 12/31/2013 ADDRESS: 155 N. Lake Ave, Suite 700, Pasadena CA 91101, United States DESCRIPTION: I provide tax and consulting services to individual and business clients and as an agent registered for the client's entity with the Secretary of State.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-02-09 |
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