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Current Employers
K2 Financial Inc.

233 South Glendora Avenue, Glendora, CA 91741 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-05-30
  • CA RA
    APPROVED
    Since 2019-05-30

Branch Locations

233 South Glendora Avenue, Glendora, CA 91741 • United States

Lincoln Investment

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-05-07
  • CA RA
    APPROVED
    Since 2018-05-07

Branch Locations

233 S. Glendora Ave., Glendora, CA 91741 • 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
The Legend Group San Dimas CA 06/2012 01/2017
Lincoln Investment San Dimas CA 01/2017 Present
K2 Financial Inc. Glendora CA 04/2019 Present
Previous Registrations
  • 2018-05-07 → 2019-10-04
    Legend Advisory, Llc
    San Dimas, CA
Other Businesses

Independent RIA - K2 Financial POSITION: IAR NATURE: Investment INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 ADDRESS: 233 S Glendora Ave, Glendora CA 91741, United States DESCRIPTION: Independent Registered Investment Advisor Representative K2 BENEFITS GROUP POSITION: Agent/Producer NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 10/01/2019 ADDRESS: 233 S Glendora Ave, Glendora CA 91741, United States DESCRIPTION: Working as a agent/producer. ALBUMLINERNOTES.COM POSITION: Owner NATURE: Website for Music Enthusiastssts INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2007 ADDRESS: 238 E. Grandview Avenue, Sierra Madre CA 91024, United States DESCRIPTION: Owner of website for music enthusiasts. ARTIST POSITION: Artist. NATURE: Artwork INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2017 ADDRESS: 289 E. Grandview Ave, Sierra Madre CA 91024 , United States DESCRIPTION: Artist

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-04
S63 Uniform Securities Agent State Law Examination 2013-01-31
  • S65 Uniform Investment Adviser Law Examination
    2018-05-04
  • S63 Uniform Securities Agent State Law Examination
    2013-01-31
Other Names
  • Rene Rodriguez

View on SEC IAPD

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