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1320 Valley Vista Drive Suite 202, Diamond Bar, CA 91765 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-12-18 |
| TX | RA | APPROVED_RES | 2019-09-09 |
| CA | RA | APPROVED | 2005-04-25 |
Branch Locations
1320 Valley Vista Drive Suite 202, Diamond Bar, CA 91765 • United States
San Jose, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lagos Wealth Advisors | Diamond Bar | CA | 10/2001 | Present |
| Santa Clara University | Santa Clara | CA | 09/2010 | Present |
| Triad Advisors, Llc | Norcross | GA | 09/2013 | 04/2022 |
| Madison Avenue Securities | San Diego | CA | 04/2022 | Present |
1)LAGOS FINANCIAL & INSURANCE SERVICES, INC(DBA LAGOS WEALTH ADVISORS);INVESTMENT RELATED; 1320 VALLEY VISTA DR, SUITE 202,DIAMOND BAR,CA 91765;RIA AND INSURANCE SERVICES;DIRECTOR OF RETIREMENT CONSULTING SERVICES;10/15/2001;20 HRS/MONTH;4 HRS DURING TRADING. Chief Compliance Officer & Retirement Plan Consultant;10/2001;20 hrs/month;varies;dba for Lagos Financial & Investment Services, serves as the CCO of the RIA, manage the firm's 401k program. 2) MADISON AVENUE SECURITIES; INVESTMENT RELATED; 1320 VALLEY VISTA DR SUITE 202, DIAMOND BAR, CA 91765; REGISTERED BROKER DEALER; REGISTERED SALES ASSISTANT; 04/2022 START; 10 HOURS PER MONTH; 2 HOURS DURING TRADING; ASSISTING WITH THE SALE OF SECURITIES AND WITH COMPLIANCE MATTERS FOR A BRANCH OF MADISON AVENUE SECURITIES. 3)SANTA CLARA UNIVERSITY;NOT INVESTMENT RELATED;500 EL CAMINO REAL,SANTA CLARA,CA 95053;UNIVERSITY;ASSOCIATE PROFESSOR;9/1/2010;55 HRS/MONTH;VARIES;TEACH COURSES IN ORGANIZATIONAL STRATEGY,COMMUNICATION,AND QUANTITATIVE RESEARCH METHODS. I AM ALSO AN ACTIVE AND PUBLISHED RESEARCHER IN THE SAME. 4) SQ MUSIC & ARTS COLLECTIVE; INVESTMENT RELATED: NO; DUTIES: MEMBER OF THE BOARD OF DIRECTORS FOR A NON-PROFIT; DATE: 5/01/2021; HOURS: >1/MONTH 5) WESTERN STATES COMMUNICATION ASSOCIATION; NON-INVESTMENT RELATED; 1845 FAIRMOUNT, CAMPUS BOX 31, WICHITA, KS 67260-0031; NON-PROFIT; MEMBER OF THE BOARD OF DIRECTORS; START DATE 1/1/2025; 1-2 HOURS MONTH NONE DURING TRADING HOURS; PRESIDENT OF THE BOARD OF DIRECTORS FROM 1/1/2025 THROUGH 12/31/2026.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-09 |
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