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437 Newman Springs Road, Lincroft, NJ 07738 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-08-24 |
| OK | RA | APPROVED | 2015-07-10 |
Branch Locations
437 Newman Springs Road, Lincroft, NJ 07738 • United States
732 N Santa Fe Ave. Suite B, Edmond, OK 73034 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pensionmark Financial Group, Llc | Santa Barbara | CA | 07/2015 | Present |
| Capfinancial Securities, Llc. | Raleigh | NC | 07/2015 | 12/2017 |
| Pensionmark Securities, Llc | Santa Barbara | CA | 09/2017 | 01/2018 |
| St. Bernard Financial Services, Inc. | Russellville | AR | 01/2018 | Present |
1) A New Level Strategies LLC, Investment Related; 2235 Riverfront Lane, Fayetteville AR, 72703; Portfolio Management; Partner, 1/1/2020; 140 hours per month; 100 hours during trading hours; Portfolio Management 2) Canopy Wealth Strategies, LLC; Non-Investment Related; Owner; Formed for Tax Purposes only. No client involvement, not held out to the public.; 2020; 12 hours per month; 12 hours during trading hours
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2009-12-07 |
| S65 | Uniform Investment Adviser Law Examination | 2007-07-28 |
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