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9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-02-06 |
| CA | RA | APPROVED | 2020-06-29 |
Branch Locations
611 13Th St, Modesto, CA 95354 • United States
9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Griffin Capital Securities, Inc. | Phoenix | AZ | 03/2015 | 06/2019 |
| Incapital Llc | Boca Raton | FL | 06/2019 | 06/2020 |
| Mutual Securities, Inc. | Camarillo | CA | 06/2020 | Present |
| Mutual Advisors Llc | Omaha | NE | 06/2020 | Present |
1. Independent Insurance Agent, Start Date: 09/22/2022, 611 13th St, Modesto, CA 95354, S Corp Swain Financial Services, Inc., Sell Fixed Insurance Policies such as Life Insurance, Agent, Fixed Life Insurance Sales, Not Investment Related, 10-15 Hours per month, 1 Hour per day during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-06-25 |
| S66 | Uniform Combined State Law Examination | 2007-04-14 |
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