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1201 N. Orange Street Suite 729, Wilmington, DE 19801 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-30 |
Branch Locations
1201 N. Orange Street Suite 729, Wilmington, DE 19801 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Ontario | CA | 04/2015 | 11/2017 |
| Citizens Business Bank | Ontario | CA | 04/2015 | 11/2017 |
| Us Bancorp Investments, Inc | Claremont | CA | 01/2019 | 10/2020 |
| Bailes And Associates | Irvine | CA | 02/2018 | 01/2019 |
| Waddell & Reed, Inc | Corona | CA | 10/2020 | 02/2021 |
| Morgan Stanley | Newport Beach | CA | 02/2021 | 05/2022 |
| Klr Capital, Llc | Torrance | CA | 08/2022 | 02/2023 |
| Costar Group | Corona | CA | 05/2022 | 08/2022 |
| Lpl Financial Llc | Corona | CA | 06/2023 | 01/2024 |
| Newedge Advisors Llc | New Orleans | LA | 05/2023 | 01/2024 |
| Realta Equities, Inc. | Wilmington | DE | 01/2024 | Present |
| Realta Investment Advisors, Inc. | Wilmington | DE | 01/2024 | Present |
1) BAKED FOLIO; CORONA, CA 92879; NOT INVESTMENT RELATED; OWNER/OPERATOR OF BAKERY RELATED SERVICES; SALARY; 4 HOURS PER WEEK DURING NON-TRADING HOURS. (2) REALTA INVESMENT ADVISORS, INC.; WILMINGTON, DE; START: 1/2024; WWW.REALTAWEALTH.COM; INVESTMENT ADVISORY SERVICES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-10 |
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