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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-14 |
Branch Locations
15425 Los Gatos Blvd Ste 101, Los Gatos, CA 95032 • United States
1050 El Camino Real Suite C, Belmont, CA 94002 • United States
210 Redwood Shores Parkway, Redwood City, CA 94065 • 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 |
|---|---|---|---|---|
| Foothill Securities Inc | Redwood Shores | CA | 06/2011 | 12/2016 |
| Cue Financial Group, Inc. | Los Gatos | CA | 04/2013 | 12/2017 |
| Provident Credit Union | Los Gatos | CA | 06/2011 | Present |
| Securities America, Inc. | Los Gatos | CA | 12/2016 | 06/2024 |
| Securities America Advisors | Los Gatos | CA | 01/2018 | 06/2024 |
| Osaic Wealth, Inc. | Belmont | CA | 06/2024 | Present |
PROVIDENT CREDIT UNION POSITION: Advisor NATURE: Credit Union INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2011 ADDRESS: 15425 Los Gatos Blvd, Los Gatos CA 95032 DESCRIPTION: Investment advisor working for/in Provident Credit Union SAA POSITION: Advisor NATURE: Advisory Business INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2018 ADDRESS: 15425 Los Gatos Blvd, Los Gatos CA 95032, United States DESCRIPTION: Offering advisory accounts to clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-12-17 |
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