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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-03 |
| CA | RA | APPROVED | 2023-01-20 |
Branch Locations
99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603 • United States
Walnut Creek, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-01-15 |
| S63 | Uniform Securities Agent State Law Examination | 2007-09-28 |
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