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20380 Town Center Lane Ste 205, Cupertino, CA 95014 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-06-21 |
| CA | RA | APPROVED | 2023-02-01 |
| TX | RA | APPROVED | 2023-02-01 |
Branch Locations
20380 Town Center Lane Ste 205, Cupertino, CA 95014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Menlo Park | CA | 08/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Menlo Park | CA | 11/2016 | 06/2018 |
| Sp Asset Management Llc | Cupertino | CA | 07/2018 | Present |
| The Leaders Group Inc | Littleton | CO | 03/2024 | Present |
1.) SP ASSET MGMT - 7/23/2018 - 20380 Town Center Lane, Suite 2055, Cupertino, CA 95014 - Director of Operations, Operations, Invt Rel, RA business, 160 hrs/mo; 160 hrs/mo (during trading hours) 2.) INDEPENDENT INSURANCE AGENT - 10/8/2019 - 9568 Seawind Way, Newark, CA 94560 - Agent, Assist clients with fixed life insurance products, Invt Rel, Insurance business, 10 hrs/mo; 10 hrs/mo (during trading hours).
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-07-14 |
| S65 | Uniform Investment Adviser Law Examination | 2022-07-18 |
| S66 | Uniform Combined State Law Examination | 2016-02-24 |
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