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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-09-27 |
| TX | RA | APPROVED | 2022-09-26 |
Branch Locations
370 Diablo Road Suite 201, Danville, CA 94526 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 09/2022 | Present |
| Herrmann & Cooke, Inc. | Danville | CA | 03/2013 | 09/2022 |
(1) Alumni Alliance; INVESTMENT RELATED: No; ADDRESS: 13122 Laburnum Drive, Tustin, CA 92780; NATURE: Nonprofit organization providing tailored support to former foster youth; POSITION: Board/CFO; START DATE: 06/28/2024; NUMBER OF HOURS/MONTH: 5 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: We have an accounting firm who handles all the heavy lifting. I'm mostly there for checks & balances, advice, optics.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-09-12 |
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