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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-01 |
| CA | RA | APPROVED | 2023-09-01 |
| NE | RA | APPROVED | 2023-09-01 |
Branch Locations
3131 Camino Del Rio North Suite 270, San Diego, CA 92108 • 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 |
|---|---|---|---|---|
| Icm | San Diego | CA | 05/2003 | Present |
| Sunamerica Securities Inc | Phoenix | AZ | 05/2003 | Present |
| University Of Phoenix | San Diego | CA | 01/2002 | Present |
| Sagepoint Financial, Inc | Phoenix | AZ | 01/2009 | 09/2023 |
| Osaic Wealth, Inc. | San Diego | CA | 09/2023 | Present |
1)ICM REAL ESTATE POSITION: Other - Employee NATURE: Mortgage Brokerage - INVESTMENT RELATED: No NUMBER OF HOURS: -1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2006 ADDRESS: 27261 Las Ramblas, Suite 130, Mission Viejo CA 92691, United States DESCRIPTION: mortgage originator of conventional, interest only, jumbo, non-balloon payment loan. 2)CERTIFIED CITADEL ESTATE PLANNER POSITION: Other - Certified Citadel Estate Planner NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: -10 SECURITIES TRADING HOURS: -10 START DATE: 04/01/2009 ADDRESS: 2372 Morse Avenue, Irvine CA 92614, United States DESCRIPTION: Referring clients to a law firm, Citadel, for estate planning needs such as living trusts. 3)INDEPENDENT CAPITAL MANAGEMENT, INC. POSITION: Agent NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 11/01/1998 ADDRESS: 3131 Camino del Rio N Suite 810, San Diego CA 92108 DESCRIPTION: Sale of Traditional Life & Health Insurance products 4)Independent Capital Management, Inc. (ICM) POSITION: Financial Advisor/Investment Advisor Rep NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2003 ADDRESS: 3131 Camino del Rio N Suite 810, San Diego CA 92108 DESCRIPTION: I gather financial data from clients, asking their financial goals, risk tolerance and recommend financial solutions for things like, cashflow analysis, retirement planning, investment solutions or wealth preservation, college planning, insurance planning. I do annual financial review and update information as received from the client.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-18 |
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