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One Freedom Valley Drive, Oaks, PA 19456 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-10-10 |
| CO | RA | APPROVED | 2024-10-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Assetmark Financial, Inc. | Concord | CA | 09/2015 | 12/2018 |
| Assetmark Brokerage, Llc | Concord | CA | 09/2015 | 12/2018 |
| J.W. Cole Financial, Inc. | Tampa | FL | 11/2020 | 03/2021 |
| J.W. Cole Advisors, Inc. | Tampa | FL | 11/2020 | 03/2021 |
| Medicine Man Techologies | Denver | CO | 01/2019 | 01/2020 |
| Kalita Grill | Boulder | CO | 01/2020 | 11/2020 |
| Centura Wealth Advisory | San Diego | CA | 02/2021 | 09/2024 |
| Sei Investments | Oaks | PA | 09/2024 | Present |
1.) Kalita Grill; not investment-related; owner - start date 6/2017; 2426 Arapahoe Ave. Boulder, CO 80302; 0 Hours per month. 2.) INSURANCE; NON-INVESTMENT RELATED; IMPLEMENTED THROUGH THE INDIVIDUAL; APPROXIMATELY 10% OF TIME; SALE OF COMMISSION-BASED INSURANCE PRODUCTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-14 |
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