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13001 Seal Beach Boulevard # 250, Seal Beach, CA 90740 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-29 |
Branch Locations
13001 Seal Beach Boulevard # 250, Seal Beach, CA 90740 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Long Beach | CA | 02/2010 | 08/2025 |
| Purshe Kaplan Sterling Investments | Albany | NY | 08/2025 | Present |
| Ktf Investments | Seal Beach | CA | 08/2025 | Present |
1. KTF Investments. Investment related. At Registered Location. RIA. VP, Operations. 8/2025. 160 Hrs/Mo; All During Trading Hours. Manage all operational aspects of the business. 2. Fixed Insurance. Investment Related. At Registered Location. Fixed/ Traditional Insurance. Agent. 8/2025. 0. 0. Provide insurance advice to based on the needs of client(s). 3. Notary Public. Not Investment Related. At Registered Location. Notary Services. Notary. 9/2025. 1 Hr/Mo; All During Trading Hours. Provide Acknowledgements and Jurats Upon Request.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-12 |
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