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190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-12-13 |
Branch Locations
190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States
Roseville, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Loring Ward Securities Inc. | San Jose | CA | 05/2016 | 11/2018 |
| Foreside Financial Services, Llc | Elk Grove | CA | 10/2018 | Present |
| Focus Advisor Solutions, Llc | Elk Grove | CA | 12/2018 | Present |
1) Focus Advisor Solutions, LLC; Investment Related; Elk Grove, CA; Investment; Regional Director; 1/1/2019; 160 hrs per month; 160 hrs per month trading; Acts as subject matter expert and partners with independent financial advisors to enable them to leverage the services Focus Partners Advisor Solutions offers. 2) IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF Buckingham Strategic Partners, LLC., THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FINANCIAL SERVICES, LLC., AN UNAFFILIATED BROKER DEALER. THE ASSOCIATES IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FINANCIAL SERVICES, LLC. ACTING AS THE MUTUAL FUND DISTRIBUTOR FOR THE SA FUND UNDER Buckingham Strategic Partners, LLC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 2010-01-19 |
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