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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-09 |
Branch Locations
8300 Fm 1960 West Suite 450, Houston, TX 77070 • 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 |
|---|---|---|---|---|
| Investors Capital Corporation | Lynnfield | MA | 09/2010 | 10/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | 03/2017 |
| 1St Global Capital Corp. | Houston | TX | 03/2017 | 01/2019 |
| 1St Global Advisors, Inc. | Houston | TX | 03/2017 | 01/2019 |
| 1St Global Insurance Services, Inc. | Houston | TX | 03/2017 | 01/2019 |
| Cetera Advisor Networks | El Segundo | CA | 01/2019 | 06/2023 |
| Southwest Financial Services | Houston | TX | 01/2019 | Present |
| J Franklin Investments | Tomball | TX | 01/2013 | Present |
| Independent Financial Group, Llc | Houston | TX | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: SOUTHWEST FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-08-26 |
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