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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-02-22 |
| TX | RA | APPROVED | 2024-02-22 |
Branch Locations
3200 Park Center Drive Ste. 1240, Costa Mesa, CA 92626 • United States
3131 Camino Del Rio N. Suite 800, San Diego, CA 92108 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-02-22 |
Branch Locations
3131 Camino Del Rio N. Suite 800, San Diego, CA 92108 • United States
3200 Park Center Dr. Suite 1240, Costa Mesa, CA 92626 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc | Los Angeles | CA | 07/2011 | 03/2017 |
| Massmutual Life Insurance Co | Costa Mesa | CA | 07/2016 | 02/2024 |
| Mml Investors Services, Llc | Costa Mesa | CA | 03/2017 | 02/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2024 | Present |
| Sovran Advisors Llc - Crd 329415 | Costa Mesa | CA | 02/2024 | Present |
| Directpath Financial, Llc | Costa Mesa | CA | 02/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 02/2024 | Present |
1.NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC - CRD 329415 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE START DATE: 02/2024 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT 2. NAME OF OTHER BUSINESS: DIRECTPATH FINANCIAL, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2023 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL AND INSURANCE SERVICES 3. NAME OF OTHER BUSINESS: ANTHONY KRICKL INVESTMENT RELATED: NO ADDRESS: 305 SAWBUCK IRVINE, CA NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 10/2014 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MANAGE RENTAL PROPERTY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-08-22 |
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