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9870 Research Drive, Irvine, CA 92618 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-04-13 |
| CA | RA | APPROVED | 2014-01-31 |
Branch Locations
4195 E Thousand Oaks Blvd Suite 125, Westlake Village, CA 91362 • United States
200 Auburn Folsom Rd Suite 101, Auburn, CA 95603 • United States
9870 Research Drive, Irvine, CA 92618 • United States
6200 Antioch St., Oakland, CA 94611 • United States
2700 E Foothill Rd Suite 306, Pasadena, CA 91107 • United States
1981 N. Broadway Suite 300, Walnut Creek, CA 92596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Westlake Village | CA | 01/2014 | 03/2020 |
| Cooper Financial Group | Westlake Village | CA | 01/2014 | Present |
| Cambridge Investment Research, Inc. | Fairfield | IA | 03/2020 | Present |
1) LINDSEY AND LINDSEY WEALTH MANAGEMENT, 4195 E THOUSAND OAKS BLVD, STE 125,WESTLAKE VILLAGE, CA, S-CORP- OWNER/PRESIDENT 01/01/18, INV REL, 40/WK- 10/TRADING 2) ASCENT WEALTH MANAGEMENT, 4195 E THOUSAND OAKS BLVD, STE 125, WESTLAKE VILLAGE, CA, S-SORP, OWNER/PRESIDENT, 01/01/18, INV REL, 10/WK-5 TRADING 3) CL ORTA, INC, 4195E THOUSAND OAKS BLVD, STE 125, WESTLAKE VILLAGE, CA, S-CORP, OWNER, 01/01/19, 2/WK- 1/TRADING 4) CHRISTINA ORTA; NOT INVESTMENT RELATED; 4195 E. THOUSAND OAKS BLVD., SUITE 125, WESTLAKE VILLAGE, CA 91362; INSURANCE SALES; INSURANCE AGENT; CA INSURANCE AGENT (LICENSE #0I80001); 15 HRS/MONTH; 0 HRS/MONTH DURING TRADING HOURS; INDIVIDUAL OFFERS LIFE INSURANCE, ACCIDENT & HEALTH INSURANCE, AND VARIABLE CONTRACTS PRODUCTS 5) LIFE INSURANCE AND LONG TERM CARE INSURANCE, 4195 E. Thousand Oaks Blvd. Suite 125, Westlake CA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 08/01/2014, 10/HR MO, 4/HR MO Trading 6) HILLCREST CHRISTIAN SCHOOL, 449 E. Wilbur Rd., Thousand Oaks CA 91360, United States, 10/20/2023, Treasurer, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 8 HR/MO - 1 HR/MO TRADING
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-11-14 |
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