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Current Employers
Safeguard Investment Advisory Group, Llc

4160 Temescal Canyon Road Suite 307, Corona, CA 92883 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-03-18
  • CA RA
    APPROVED
    Since 2024-03-18

Branch Locations

4160 Temescal Canyon Road Suite 307, Corona, CA 92883 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
U.S. Bancorp Investments, Inc. Oceanside CA 05/2012 08/2020
U.S. Bank Oceanside CA 11/2016 04/2018
Lpl Financial, Llc Carlsbad CA 09/2020 03/2024
Safeguard Investment Advisory Group, Llc Corona CA 03/2024 Present
Lpl Financial, Llc Carlsbad CA 09/2020 03/2024
Previous Registrations
  • 2020-09-08 → 2024-04-02
    Carlsbad, CA
    San Diego, CA
    Carlsbad, CA
  • 2016-04-22 → 2020-09-10
    San Diego, CA
    Temecula, CA
    San Diego, CA
    Oceanside, CA
    San Marcos, CA
    Carlsbad, CA
    Oceanside, CA
    Huntington Beach, CA
    Vista, CA
    San Marcos, CA
    Oceanside, CA
Other Businesses

1. 1/11/2021 - No Business Name - Not Investment Related - Home Based - Other-Online Sales - Started 12/02/2020 - 12 Hours Per Month/0 Hours During Securities Trading - Occasionally resell collectibles, like trading cards and comics, along with rare sneakers online via Ebay and Mercari. 2. 6/22/2021 - Dreamstyle Remodeling - Not Investment Related - 8260 Miralani Drive, San Diego Ca 92126 - Outside/W-2 Employment - Commissioned Sales Rep. - Started 05/03/2021 - 12 Hours Per Month/0 Hours During Securities Trading - Going to prescheduled appointments to close sales on Kitchen and bath remodels.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-04-21
S63 Uniform Securities Agent State Law Examination 2011-08-09
  • S65 Uniform Investment Adviser Law Examination
    2016-04-21
  • S63 Uniform Securities Agent State Law Examination
    2011-08-09

View on SEC IAPD

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