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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-10-29 |
Branch Locations
5932 Bolsa Avenue Suite 107, Huntington Beach, CA 92649 • 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 |
|---|---|---|---|---|
| Transamerica Financial Advisors, Inc | Redondo Beach | CA | 08/2016 | 04/2021 |
| Unemployed | Fountain Valley | CA | 04/2021 | 10/2021 |
| Royal Alliance | Huntington | CA | 10/2021 | Present |
1) CAPITAL RESOURCES AND INSURANCE, INC. POSITION: OSJ Branch Manager NATURE: Financial Services and Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2021 ADDRESS: 5500 Bolsa Ave, Suite 145, Huntington Beach CA 92649, United States DESCRIPTION: Review supervision queues related to trading, new account opening, and Investment Advisory account compliance. Correspond with RR's notifying them of any flagged transactions or deficiencies related to the queues. Monitor Service Net tickets as related to RRs. Follow up on outstanding requirements for licensing and compliance as communicated by broker-dealer. 2) CONSUELO C SANTIAGO TRUST, BENEDICTO SANTIAGO TRUSTEE POSITION: Trustee NATURE: Trustee for Mother's Trust. She is deceased. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2026 ADDRESS: 16527 Spruce St., Fountain Valley CA 92708, United States DESCRIPTION: Trustee for Trust in the name of my mother. She is deceased. 3) CAPITAL RESOURCES AND INSURANCE, INC. POSITION: OSJ Branch Manager NATURE: Financial Services and Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2021 ADDRESS: 5932 Bolsa Ave, Suite 107, Huntington Beach CA 92649, United States DESCRIPTION: Review supervision queues related to trading, new account opening, and Investment Advisory account compliance. Correspond with RR's notifying them of any flagged transactions or deficiencies related to the queues. Monitor Support Center tickets as related to RRs. Follow up on outstanding requirements for licensing and compliance as communicated by broker-dealer.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-12 |
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