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115 Broadway 5Th Floor, New York, NY 10006 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-14 |
Branch Locations
115 Broadway 5Th Floor, New York, NY 10006 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | Irvine | CA | 11/2015 | 01/2019 |
| Adviceperiod, Llc | Century City | CA | 01/2019 | 10/2020 |
| Five Oceans Advisors Llc | Santa Monica | CA | 10/2020 | 04/2024 |
| Compound Planning | Orange | CA | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2016-03-02 |
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