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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| CA | RA | APPROVED | 2024-04-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pacific Global Investment Management Company | Glendale | CA | 01/2007 | 11/2016 |
| Derby & Derby, Inc. | Ojai | CA | 12/2016 | 05/2019 |
| Securities America, Inc. | Ojai | CA | 01/2017 | 05/2019 |
| Lpl Financial Llc | Ojai | CA | 05/2019 | 04/2024 |
| Integrity Wealth Advisors, Inc. | Ojai | CA | 05/2019 | 04/2024 |
| Commonwealth Financial Network | San Diego | CA | 04/2024 | Present |
| Sagepointe Wealth Management | Ojai | CA | 04/2024 | Present |
1. Fixed insurance sales; as of 3/11/2024; 1% time spent during business hours; Conducted at branch location; Investment related. 2. Owner, SagePointe Wealth Management, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 4/23/2024; 100% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-05-31 |
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