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601 California Street Suite 300, San Francisco, CA 94108 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-08-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dunham & Associates Investment Counsel, Inc. | San Diego | CA | 08/2009 | 04/2019 |
| Unemployed | Austin | TX | 04/2019 | 07/2019 |
| Main Management, Llc | San Francisco | CA | 07/2019 | Present |
| Ceros Financial Services, Inc. | Rockville | MD | 08/2019 | 03/2022 |
| Northern Lights Distributors, Llc | Elkhorn | NE | 03/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-24 |
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