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22 Battery Street Suite 426, San Francisco, CA 94111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-07-02 |
Branch Locations
22 Battery Street Suite 426, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mosaic Financial Partners, Inc. | San Francisco | CA | 02/2000 | 01/2018 |
| Occidental Asset Management, Llc | Burlingame | CA | 05/2018 | 06/2019 |
| Delphi Coaching | San Francisco | CA | 01/2007 | Present |
| Prospettiva Financial | San Francisco | CA | 07/2019 | Present |
1) DELPHI COACHING LLC, PRINCIPAL SINCE 2008 IN SAN FRANCISCO, CA, NON-INVESTMENT RELATED, APPROX. 5-10 HRS PER MONTH DURING NON-TRADING HOURS PROVIDING FINANCIAL COACHING. 2) SAGE FINANCIAL SOLUTIONS, INC.; NOT INVESTMENT-RELATED; COMPANY IS A 501(c)(3) ORGANIZATION THAT TRAINS FINANCIAL PROFESSIONALS ON COACHING SKILLS AND CONNECTS THEM TO COMMUNITY-BASED ORGANIZATIONS AND INDIVIDUALS WHO ARE LOW-TO-MODERATE INCOME; TREASURER; START DATE: 2005; 2 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-10-06 |
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