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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-05-14 |
| CA | RA | APPROVED | 2017-03-13 |
Branch Locations
1600 S Main Street Suite 125, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments Institutional Services Company, Inc | Smithfield | RI | 10/2013 | Present |
| Osaic Wealth, Inc. | Walnut Creek | CA | 03/2017 | Present |
1. NWF ADVISORY POSITION: IAR NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 120 START DATE: 02/02/2017 ADDRESS: 11835 West Olympic Blvd. #1155 East, Los Angeles CA 90064, United States; DESCRIPTION: I am an investment advisor for the IndependentRIA 2. NEXT STEP RETIREMENT & INSURANCE, LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 02/11/2019 ADDRESS: 1600 S. Main Street, Set 125, Walnut Creek CA 94596, United States DESCRIPTION: Meet with clients, prospect clients, and vendors
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-09-07 |
| S66 | Uniform Combined State Law Examination | 2003-10-17 |
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