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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-03-02 |
| CA | RA | APPROVED | 2020-05-07 |
Branch Locations
3350 E. Birch Street Suite 208-A, Brea, CA 92821 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors, Inc | Brea | CA | 01/2020 | Present |
| Wfgia | Brea | CA | 12/2012 | Present |
| Monarch Llc Dba Monarch Pharmacy | Glendora | CA | 11/2015 | 07/2024 |
| Marquez Benefit Group Llc | Phoenix | AZ | 04/2021 | Present |
| Lspn Pro Llc | Lindon | UT | 09/2023 | Present |
| Inland Empire Pharmacists Association | Chino Hills | CA | 04/2024 | Present |
| Walgreens | Moreno Valley | CA | 12/2024 | Present |
| Inheritguard, Llc | Sheridan | WY | 08/2024 | Present |
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." MARQUEZ BENEFIT GROUP LLC / INVESTMENT RELATED: NO / 8601 N BLACK CANYON HWY SUITE 209, PHOENIX AZ 85021 / HOURS PER MONTH: 20 / HOURS DURING SECURITIES TRADING HOURS: 1 / BROKER: REFERRING POTENTIAL CLIENTS TO COMPANY / APPROVED WITH RESTRICTIONS LSPN PRO LLC POSITION: Agent NATURE: PROVIDING BUNDLED PROFESSIONAL SERVICES WITH EMPHASIS ON ESTATE PLANNING SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/21/2023 ADDRESS: 100 N. STATE STREET, STE B, LINDON UT 84042, United States DESCRIPTION: CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATE PLANNING ISSUES, SCHEDULE APPOINTMENTS. INLAND EMPIRE PHARMACISTS ASSOCIATION \ POSITION: Treasurer NATURE: Nonprofit local association affiliate of the California Pharmacists Association INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/22/2024 ADDRESS: 4195 Chino Hills Parkway, #1057, Chino Hills CA 91709 \ DESCRIPTION: The Treasurer shall have custody of all funds and securities of IEPhA for which he/she will be personally responsible. The Treasurer shall issue checks in payment of bills upon direction of the Board of Directors. INHERITGUARD, LLC POSITION: Referral Agent NATURE: PROVIDING BUNDLED PROFESSIONAL SERVICES WITH EMPHASIS ON ESTATE PLANNING SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2024 ADDRESS: 30 N Gould Street, STE 41954, SHERIDAN WY 82801, United States DESCRIPTION: CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATE PLANNING ISSUES, SCHEDULE APPOINTMENTS. WALGREENS POSITION: Pharmacist NATURE: Retail/Healthcare INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 1 START DATE: 12/16/2024 ADDRESS: 25011 Alessandro Blvd, Moreno Valley CA 92553, United States DESCRIPTION: Pharmacist duties including dispensing medications, counseling patients on proper use and safety, managing pharmacy inventory, supervising staff, and ensuring compliance with all regulatory requirements.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-05-22 |
| S65 | Uniform Investment Adviser Law Examination | 2020-05-07 |
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