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24 Corporate Plaza Suite 150, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-09-02 |
Branch Locations
24 Corporate Plaza Suite 150, Newport Beach, CA 92660 • United States
5001 25Th Avenue Ne Suite 201E, Seattle, WA 98105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Seattle | WA | 11/2002 | 08/2021 |
| Rainier Financial Group, Inc. | Seattle | WA | 01/2003 | 08/2021 |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2021 | Present |
| Beacon Pointe Advisors | Seattle | WA | 09/2021 | Present |
1) BEACON POINTE INSURANCE SERVICES, LLC INVESTMENT RELATED: No ADDRESS: Main office located at 24 Corporate Plaza Dr., STE., 150, Newport Beach CA, 92660 NATURE OF BUSINESS: Insurance Agency POSITION/TITLE: Agent START DATE: 09/01/2021 HRS/MO DURING SECURITIES TRADING HOURS: 10 hrs./Mo. DUTIES: Sale of insurance products (life/health/accident) 2) Hartvigson Partners LLC. Investment related. See Branch Office Location in Section 1. Nature - Real Estate. Position - Managing Partner. Start - 04/2005. 2 hours per month, 2 hours during trading hours. Duties - handle books, recordkeeping of real estate partnership. 3) Sportswear Inc. Not investment related. Located at 2211 Elliott Ave #601, Seattle, WA 98121. Nature - Online Apparel Retailer. Position - Board Member. Start - 01/2011. 4 hours per month, 0 during trading hours. Duties - Attend bi-annual board meetings. Support CEO and other board members in making strategic business decisions. 4) Fixed Insurance - Investment Related. Located at See Branch Office Location in Section 1. Nature - Fixed/ Traditional Insurance. Position - Agent. Start 09/2021. 4 hours per month, 4 hours during trading hours. Duties - sell Fixed / Traditional Insurance products. 5) Notary. Not investment related. Located at See Branch Office Location in Section 1. Nature - Notarizing Documents. Position - Notary. Start - 09/2021. 1 hour per month, 1 hour during trading hours. Duties - Notarize documents for clients and prospects.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-03 |
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