Best Investors
Account
Sign in
Best Investors
Account
Sign in
1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-17 |
| CA | RA | APPROVED | 2024-01-16 |
Branch Locations
1600 South Main Street Suite 315, Walnut Creek, CA 94596 • United States
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 | Walnut Creek | CA | 01/2016 | 01/2024 |
| Principal Securities Inc | Walnut Creek | CA | 03/2016 | 01/2024 |
| Cetera Investment Services Llc | Saint Cloud | MN | 01/2024 | Present |
| Cetera Investment Advisers Llc | San Jose | CA | 01/2024 | Present |
1. BOARD MEMBER STAPLETON SCHOOL OF THE PERFORMING ARTS, APPOINT AND SUPPORT THE EXECUTIVE ARTISTIC DIRECTOR, ENSURE MISSION, PHILOSOPHY AND CORE VALUE OF THE SCHOOL IS UPHELD, MONITOR WELL BEING OF BUDGET, FINANCES AND COMMUNITY IMAGE, DOES NOT HAVE ACCESS TO BANK ACCOUNT NOR CHECK WRITING PRIVILEGES, 1/HR/WK. 2. BOARD MEMBER OF NORTHERN CALIFORNIA WIFS, CHAPTER OF INDUSTRY ORGANIZATION THAT ATTRACT, DEVELOP, ADVANCE WOMEN IN THE INDUSTRY, OVERSEE MISSION AND VISION OF ORGANIZATION, FACILITATE BOARD MEETINGS, ORGANIZE PROGAMMING AND EVENTS OF CHAPTER, RECRUIT NEW MEMBERS, ATTRACT SPONSORS, 2/HRS/WK 3. CO-TREASURER AND BOARD MEMBER OF GILEAD HOUSE, ADVISE ON STRATEGIC VISION AND FINANCIAL SOLVENCY OF THE ORGANIZATION, VOTING MEMBER, TREASUER WILL NOT HAVE THE ABILITY TO OPEN DIRECT WITHDRAWAL OR SIGN ON ACCOUNTS, WILL NOT HAVE CHECK WRITING PRIVILEGES, WILL KEEP AND MAINTAIN OR CAUSE TO BE KEPT AND MAINTAINED ADEQUATE AND CORRECT BOOKS AND RECORDS OF ACCOUNTS AND PROPERTIES AND TRANSACTIONS. 4. GUARDIAN/FINANCIAL OVERSIGHT OF DAUGHTER SELLING CLOTHING ON DEPOP.COM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-04 |
Reach out to this advisor