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One Freedom Valley Drive, Oaks, PA 19456 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-04 |
| PA | RA | APPROVED | 2024-11-04 |
Branch Locations
One Freedom Valley Drive, Oaks, PA 19456 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade | San Diego | CA | 11/2015 | 04/2021 |
| Goldman Sachs | New York | NY | 04/2021 | 05/2024 |
| Folio Investments, Inc. | Carlsbad | CA | 04/2021 | 05/2024 |
| Sei Investments | Oaks | PA | 09/2024 | Present |
| Unemployed | Carlsbad | CA | 06/2024 | 09/2024 |
(1) Owner at 1111 Forest Trail, Unit 3222, a residential real estate property. Organization's primary address is in Mammoth Lakes, CA. Organization is not primarily engaged in investment-related activity. Start Date is November 6, 2016. One hour per year. Duties include managing affairs of the property. (2) Owner at 3271 Warbler Way, Unit A, a residential real estate property. Organization's primary address is in Bozeman, MT. Organization is not primarily engaged in investment-related activity. Start Date is May 6, 2022. One hour per year. Duties include managing affairs of the property.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-14 |
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