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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-05-01 |
| CA | RA | APPROVED | 2024-04-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Bellflower | CA | 07/2016 | 07/2022 |
| Jp Morgan Chase Bank | Bellflower | CA | 07/2016 | 07/2022 |
| Ajs Investments | Fullerton | CA | 09/2009 | 01/2020 |
| Chase Bank | Whittier | CA | 10/2021 | 07/2022 |
| New York Life | Irvine | CA | 06/2022 | 04/2024 |
| Nylife Securities Llc | Irvine | CA | 08/2022 | 04/2024 |
| Principal Life Insurance Company | Irvine | CA | 03/2024 | Present |
| Principal Securities, Inc. | Irvine | CA | 03/2024 | Present |
**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2024 ADDRESS: 575 Anton Blvd, Suite 900, Costa Mesa CA 92626, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **SHIBA ENTERPRISES LLC POSITION: Sole Member NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 09/12/2024 ADDRESS: 3700 S PLAZA DR APT L102, SANTA ANA CA 92704-7415, United States DESCRIPTION: SHIBA Enterprises LLC will be used for Outside Non-Investment, Non-Principal related Health Insurance. Offering health insurance to individual and business clients. Sole owner 100%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-03-07 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-15 |
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