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West Point, NY • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-10-28 |
Branch Locations
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 |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | San Ramon | CA | 10/2012 | 05/2018 |
| Summit Brokerage Services, Inc. | San Ramon | CA | 06/2018 | 09/2019 |
| Summit Financial Group, Inc. | San Ramon | CA | 06/2018 | 05/2020 |
| Cetera Advisor Networks Llc | San Ramon | CA | 09/2019 | 05/2020 |
| Empirikal Partners Llc | Phoenix | AZ | 05/2020 | 01/2024 |
| Vela Financial Llc | Arleta | CA | 07/2018 | Present |
| Ceiba Financial | Fullerton | CA | 01/2024 | 10/2024 |
| Zero Day Capital Enterprises Llc | Arleta | CA | 10/2024 | Present |
| Finalis Securities Llc | New York | NY | 05/2025 | Present |
1.) Vela Financial LLC; Investment Related; 8881 Dorrington Ave, Arleta, California. 91331; Investment banking activities, including M&A and capital raising; CEO and Founder of Vela Financial; 05/23/2025; 160; 8; Engage and conduct M&A and Capital Raise activity.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-05-18 |
| S66 | Uniform Combined State Law Examination | 2007-07-25 |
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