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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-17 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Fresno | CA | 05/2013 | 05/2023 |
| Principal Securities Inc | Fresno | CA | 03/2016 | 05/2023 |
| Commonwealth Financial Network | San Diego | CA | 05/2023 | Present |
| Elevare Advisors | Fresno | CA | 05/2023 | Present |
1. Fixed insurance sales; as of 12/30/2022; 5% of time spent during business hours; Conducted at branch location; Investment related. 2. Cattle Breeding; as of 12/30/2022; 0% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-06 |
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