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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2016-04-29 |
| CA | RA | APPROVED | 2012-01-06 |
Branch Locations
680 Langsdorf Dr. Ste 204, Fullerton, CA 92831 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| World Financial Group, Inc. | Fullerton | CA | 11/2008 | Present |
| Transamerica Financial Advisors, Inc | Fullerton | CA | 01/2012 | Present |
| Ro & E Services, Inc. | Irvine | CA | 09/2015 | Present |
| Word And Brown General Agency | Orange | CA | 02/2016 | Present |
| Destiny Builders 9, Llc | Fullerton | CA | 08/2017 | Present |
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. RO&E SERVICE, INC; 09/18/2015; ACCOUNTING/PAYROLL; NOT RELATED; 17291 IRVINE BLVD; SUITE 465; IRVINE, CA 92780; ACCOUNTING/BOOKKEEPING/PAYROLL SERVICES; 15 HRS/MO; 0 TRADING; PREPARE PAYROLL FOR VARIOUS SMALL BUSINESSES, DATE ENTRY, ANSWER QUESTIONS. WORD AND BROWN GENERAL AGENCY; 02/01/2016; YES INV RELATED; AGENT; 701 SOUTH PARKER, SUITE 8000, ORANGE, CA 92868; PROVIDES HEALTH INSURANCE AND EMPLOYEE BENEFITS SOLUTIONS FOR GROUP/BUSINESSES AND INDIVIDUALS; 20 HRS/MO; 0 TRADING; OCCASIONALLY ON A CASE BY CASE BASIS, NOT MARKETING. DESTINY BUILDERS 9, LLC/NOT INVESTMENT RELATED/PARTNER.MEMBER/8.27.2017/680 LANGSDORF DRIVE, SUITE 204, FULLERTON, CA 92831/FINANCIAL SERVICES PASS THROUGH ACCOUNT PER IMMEDIATE SUPV (MATTHEW MAI)./DESCRIPTION OF DUTIES: GENERAL OFFICE USE./HOURS.MONTH:10/HOURS DURING SECURITIES TRADING HOURS:0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-30 |
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