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1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-12-10 |
Branch Locations
601 Montgomery St Suite 1950, San Francisco, CA 94111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Woodbury Financial Services, Inc. | Cupertino | CA | 09/2015 | 07/2021 |
| Portsmouth-Smartlife Financial Group, Llc | Vero Beach | FL | 08/2021 | Present |
| Portsmouth Financial Services, Inc. | San Francisco | CA | 08/2021 | Present |
| Arete Wealth Mangagement | Chicago | IL | 12/2024 | Present |
Various Insurance Providers POSITION: Agent. NATURE: Appointed with various insurance companies offering life insurance, health, dental & vision insurance, and medicare/medicaid insurance. INVESTMENT RELATED: No. NUMBER OF HOURS: 32/month. SECURITIES TRADING HOURS: 0. START DATE: 07/01/2020 through 10/19/2023. ADDRESS: 7988 PUMPKIN DRIVE, CUPERTINO CA 95014, United States. DESCRIPTION: Serve as an agent soliciting and servicing customers who need various insurance products. DBA-SWM FINANCIAL POSITION: President NATURE: This OBA is for my DBA, SWM Financial. INVESTMENT RELATED: Yes. NUMBER OF HOURS/MONTH: 160. SECURITIES TRADING HOURS: 160. START DATE: 08/27/2013. ADDRESS: 7988 PUMPKIN DRIVE, CUPERTINO CA 95014, United States. DESCRIPTION: The purpose of this OBA is to disclose my DBA, SWM Financial. Portsmouth Financial Services dba
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-04-26 |
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