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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-26 |
| CA | RA | APPROVED | 2024-06-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Warner Financial Services | Clovis | CA | 06/2004 | 06/2024 |
| Signator Investors, Inc. | Clovis | CA | 05/2016 | 11/2018 |
| Royal Alliance Associates, Inc. | Clovis | CA | 11/2018 | 06/2024 |
| Commonwealth Financial Network | San Diego | CA | 06/2024 | Present |
| Legacy Finance | Fresno | CA | 06/2024 | Present |
1.Fixed insurance sales; as of 05/24/2016; 15% of time spent during business hours; Conducted at branch location; Investment related. 2.Owner, Legacy Finance, Inc.; a private entity established to facilitate securities, advisory, and insurance business; as of 05/24/2016; 15% time spent during business hours; Conducted at branch; Investment related. 3.Co-Owner, Point Portfolio, social media & marketing related to credit card points; Located in Fresno, CA, as of 01/01/2020; 0% of time spent during business hours; Not Conducted at branch location; Not Investment related. 4.Subleasing branch office space to Impeccable Construction & Chuck Miller Real Estate; Located in Clovis, CA, as of 05/01/2021; 1% time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-08-30 |
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