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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-11-01
TX RA APPROVED_RES 2018-11-01
  • FL RA
    APPROVED
    Since 2018-11-01
  • TX RA
    APPROVED_RES
    Since 2018-11-01

Branch Locations

1200 South Pine Island Road Suite 400, Plantation,, FL 33324 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edelman Financial Services Llc Fairfax VA 08/2011 11/2018
Ef Legacy Securities, Llc Henrico VA 04/2016 10/2018
Financial Engines Advisors L.L.C. Sunnyvale CA 11/2018 Present
  • 08/2011 → 11/2018
    Edelman Financial Services Llc
    Fairfax, VA
  • 04/2016 → 10/2018
    Ef Legacy Securities, Llc
    Henrico, VA
  • 11/2018 → Present
    Financial Engines Advisors L.L.C.
    Sunnyvale, CA
Previous Registrations
  • 2011-08-30 → 2018-11-01
    Edelman Financial Services, Llc
    Fairfax, VA
    Aventura, FL
    Boca Raton, FL
    Aventura, FL
  • 2008-08-07 → 2009-10-02
    Natcity Investments, Inc.
    West Palm Beach, FL
  • 2008-04-08 → 2008-06-16
    Miami, FL
  • 2006-01-26 → 2007-10-08
    Hallandale Beach, FL
    Pompano Beach, FL
    Pompano Beach, FL
  • 2005-08-19 → 2005-12-21
    Truist Investment Services, Inc.
    Ft. Lauderdale, FL
    Fort Lauderdale, FL
Other Businesses

(1)DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION. REAL ESTATE SALES ASSOCIATE; NOT INVESTMENT-RELATED; N. MIAMI BEACH, FL; REAL ESTATE LICENSE; AGENT/CONTRACTOR; START DATE: 2001; 0 HRS./MTH. ON ACTIVITY; 0 HRS. DURING SECURITIES TRADING HOURS; BUY/SELL REAL ESTATE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-16
S63 Uniform Securities Agent State Law Examination 1996-12-14
  • S65 Uniform Investment Adviser Law Examination
    1996-12-16
  • S63 Uniform Securities Agent State Law Examination
    1996-12-14

View on SEC IAPD

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