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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-02-20 |
Branch Locations
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 |
|---|---|---|---|---|
| Carniceria Lopez | Orosi | CA | 06/1997 | 12/2022 |
| Morgan Stanley Smith Barney | Oxnard | CA | 06/2009 | 02/2025 |
| Prospera Financial Services | Dallas | TX | 02/2025 | Present |
Commercial Building; Investment Related - No; 12767 Ave. 416 Orosi, CA 93647; Lease of building; Owner; Landlord; Start Date 02/2025; 1 Hour Per Month, 0 During Trading Hours; Leasing out the building.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 2007-04-13 |
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