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Current Employers
Foundations Investment Advisors Llc

4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-09-26
CA RA APPROVED 2018-11-08
  • TX RA
    APPROVED_RES
    Since 2022-09-26
  • CA RA
    APPROVED
    Since 2018-11-08

Branch Locations

3300 Douglas Blvd Suite 150, Roseville, CA 95661 • United States

4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foundations Investment Advisors, Llc Scottsdale AZ 10/2018 Present
Capitol Planning Group Sacramento CA 01/2016 Present
Other Businesses

1)INSURANCE SALES; SACRAMENTO, CA; SINCE 01/2016; APPROX. 80 HOURS/MO DURING TRADING HOURS; SELL INSURANCE PRODUCTS. 2)CAPITOL PLANNING GROUP; NON- INVESTMENT RELATED - 3300 DOUGLAS BOULEVARD SUITE 150 ROSEVILLE, CA; NON-LEGAL ESTATE PLANNING ADMINISTRATIVE SERVICES USING 3RD PARTY ENCORE ESTATE; DUTIES INCLUDE NON-LEGAL SERVICES TO ASSIST CLIENTS WITH DOCUMENT ORGANIZATION, DATA ENTRY, AND PLATFORM NAVIGATION RELATED TO ESTATE PLANNING SOFTWARE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-15
  • S65 Uniform Investment Adviser Law Examination
    2018-10-15

View on SEC IAPD

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