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3625 E. Thousand Oaks Blvd. Suite 145, Westlake Village, CA 91362 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-12-12 |
Branch Locations
3625 E. Thousand Oaks Blvd. Suite 145, Westlake Village, CA 91362 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Zephyr Investment Management | Westlake Village | CA | 08/2014 | Present |
| Fsc Securities Corporation | Atlanta | GA | 08/2014 | 11/2023 |
| Osaic Wealth, Inc. | Senoia | GA | 11/2023 | Present |
1) ZEPHYR INVESTMENT MANAGEMENT. INVESTMENT RELATED. ADDRESS: 3625 E. THOUSAND OAKS BLVD, SUITE 145, WESTLAKE VILLAGE, CA. POSITION: FINANCIAL ADVISOR. DUTIES: INVESTMENT MANAGEMENT AND ADVISORY SERVICES. START: 08/2014. TIME SPENT: 10 HRS/MONTH WITH 10 HRS DURING TRADING HOURS. 2) BGA PREMIER INSURANCE. INVESTMENT RELATED. ADDRESS: 31200 VIA COLINAS, SUITE 101, WESTLAKE VILLAGE, CA. POSITION: INSURANCE AGENT. DUTIES: LIFE INSURANCE SALES. START: 10/2014. TIME SPENT: 2 HRS/MONTH WITH 2 HRS DURING TRADING HOURS. 3) THE NATIONAL BENEFIT CORPORATION. INVESTMENT RELATED. ADDRESS: 5022 GRAND RIDGE DRIVE, WEST DES MOINES, IA. POSITION: INSURANCE AGENT. DUTIES: LIFE INSURANCE SALES. START: 07/2016. TIME SPENT: 2 HRS/MONTH WITH 2 HRS DURING TRADING HOURS. 4) THE FRINGE BENEFIT GROUP POSITION: Sales NATURE: Insurance. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2014 ADDRESS: 11910 ANDERSON MILL, Austin TX 78726, United States DESCRIPTION: Insurance quotes and sales. 5) FLYNN ASSOCIATES POSITION: Sales NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 04/01/2013 ADDRESS: 21600 Oxnard Street, Woodland HIlls CA 91367, United States DESCRIPTION: Term Life Insurance Sales 6) VM FINANCIAL POSITION: President NATURE: S Corp, consulting INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/12/2017 ADDRESS: 1188 Dead Oak Road, Senoia GA 30276, United States DESCRIPTION: VM Financial is my S Corp. My revenue flows through the corporation and I pay my employee, William Chenette through it.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 2008-11-10 |
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