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333 S. Wabash Ave. Suite 2700, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-05-25 |
| CO | RA | APPROVED | 2026-05-25 |
| IL | RA | APPROVED | 2026-05-25 |
| NC | RA | APPROVED | 2025-09-10 |
Branch Locations
555 Anton Boulevard Suites 150, 200, 300, Costa Mesa, CA 92626 • United States
333 S. Wabash Ave. Suite 2700, Chicago, IL 60604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cal State Fullerton | Fullerton | CA | 07/2014 | 06/2018 |
| Axa Advisors, Llc | New York | NY | 06/2018 | 01/2019 |
| Imp Financial Services | Fountain Valley | CA | 01/2019 | 09/2025 |
| Verity Asset Management | Durham | NC | 07/2024 | 09/2025 |
| Serenity Investment Advisors | Chicago | IL | 09/2025 | Present |
1) US Water Polo, Inc.; Not investment-related; Irvine, CA; Nonprofit corporation; Contractor; Official; 09/2011; 15 hours per month; 0 during market hours; Sports officiating. 2) Insurance licensed;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-05-17 |
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