Best Investors Account Sign in
Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-02-03
CA RA APPROVED 2023-01-20
  • TX RA
    APPROVED_RES
    Since 2025-02-03
  • CA RA
    APPROVED
    Since 2023-01-20

Branch Locations

99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603 • United States

Walnut Creek, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Farmers Insurance Pleasant Hill CA 04/2016 10/2021
Farmers Financial Solutions Pleasant Hill CA 05/2016 10/2021
Securian Financial Services Inc St Paul MN 10/2021 11/2022
Minnesota Life Insurance Co St Paul MN 10/2021 11/2022
Summit Financial Group Llc San Ramon CA 10/2021 11/2022
D5 Solutions Walnut Creek CA 04/2016 01/2023
Rbc Capital Markets, Llc San Jose CA 01/2023 Present
Unemployed Walnut Creek CA 11/2022 12/2022
  • 04/2016 → 10/2021
    Farmers Insurance
    Pleasant Hill, CA
  • 05/2016 → 10/2021
    Farmers Financial Solutions
    Pleasant Hill, CA
  • 10/2021 → 11/2022
    Securian Financial Services Inc
    St Paul, MN
  • 10/2021 → 11/2022
    Minnesota Life Insurance Co
    St Paul, MN
  • 10/2021 → 11/2022
    Summit Financial Group Llc
    San Ramon, CA
  • 04/2016 → 01/2023
    D5 Solutions
    Walnut Creek, CA
  • 01/2023 → Present
    San Jose, CA
  • 11/2022 → 12/2022
    Unemployed
    Walnut Creek, CA
Previous Registrations
  • 2022-01-20 → 2022-11-02
    Securian Financial Services, Inc.
    San Ramon, CA
  • 2011-09-27 → 2013-01-10
    Msi Financial Services, Inc.
    Walnut Creek, CA
    San Jose, CA
Other Businesses

Summit Financial Group, LLC POSITION: Agent NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2021 ADDRESS: 2000 Crow Canyon Place, Suite 450, San Ramon CA 94583, United States DESCRIPTION: This is for the periodic sale of fixed life, LTC, DI, Medical or Supplemental Insurance D5 SOLUTIONS POSITION: Owner NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2016 ADDRESS: 237 Marshall Dr, Walnut Creek CA 94598, United States DESCRIPTION: Consulting firm focused on assistant Insurance Agents and Financial Advisors expand their reach and promote relationship management as the key ingredient to growth and sustainable success.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-01-15
S63 Uniform Securities Agent State Law Examination 2007-09-28
  • S65 Uniform Investment Adviser Law Examination
    2022-01-15
  • S63 Uniform Securities Agent State Law Examination
    2007-09-28

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in San Jose, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor