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1372 Peachtree Street Ne, Atlanta, GA 30309 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2024-11-21 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pfs Investments Inc | Santa Ana | CA | 09/2011 | 03/2020 |
| Primerica Financial Svcs | Santa Ana | CA | 07/2016 | 03/2020 |
| Securities Management & Research, Inc. | Long Beach | CA | 03/2020 | 09/2021 |
| Bfc Planning, Inc. | Long Beach | CA | 03/2020 | 09/2021 |
| Columbia Financial Group | Syracuse | NY | 06/2020 | Present |
| Carlos Uriarte Sole Proprietor | Long Beach | CA | 01/2022 | Present |
| Wholehearted Financial Services Llc | Long Beach | CA | 07/2020 | Present |
| Wholehearted Financial Services Llc | Long Beach | CA | 02/2022 | 11/2024 |
COLUMBIA FINANCIAL GROUP; INSURANCE AGENT; 06/2020; SYRACUSE, NY; INSURANCE PRODUCT SALES; INVESTMENT RELATED; 20 HRS/MONTH; 5 HRS/MONTH DURING TRADING HOURS. CARLOS URIARTE SOLE PROPRIETOR; INSURANCE AGENT; 01/2022; LONG BEACH, CA; INSURANCE PRODUCT SALES;INVESTMENT RELATED; 20 HRS/MONTH; 5 HRS/MONTH DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-28 |
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