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190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-12-13 |
Branch Locations
190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States
San Jose, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Loring Ward Securities Inc. | San Jose | CA | 09/2006 | 11/2018 |
| Lwi Financial Inc. | San Jose | CA | 09/2006 | 11/2018 |
| Foreside Financial Services, Llc | San Jose | CA | 10/2018 | Present |
| Focus Advisor Solutions, Llc | San Jose | CA | 12/2018 | Present |
1) Focus Advisor Solutions, LLC; Investment Related; San Jose, CA; Investment; Director, Investment Strategy; Oversee portfolio strategy and research team; Start 11/2018;160 hrs per month. 2) IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF BAM ADVISOR SERVICES, LLC., THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FINANCIAL SERVICES, LLC., AN UNAFFILIATED BROKER DEALER. THE ASSOCIATES IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FINANCIAL SERVICES, LLC. ACTING AS THE MUTUAL FUND DISTRIBUTOR FOR THE SA FUND UNDER BAM ADVISOR SERVICES, LLC.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-29 |
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