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3355 Cochran Street Suite 101, Simi Valley, CA 93063 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-05-22 |
Branch Locations
3355 Cochran Street Suite 101, Simi Valley, CA 93063 • United States
Austin, TX • United States
3355 Cochran Street Suite 101, Simi Valley, CA 93063 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-05-22 |
Branch Locations
Austin, TX • United States
3355 Cochran Street Suite 101, Simi Valley, CA 93063 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Frost Investment Advisors | San Antonio | TX | 07/2016 | 08/2017 |
| Leafhouse Financial Advisors, Llc | Austin | TX | 09/2017 | 11/2017 |
| Leafhouse Financial Advisors, Llc | Austin | TX | 11/2017 | 05/2021 |
| Swbc Investment Advisory Services Llc | Austin | TX | 06/2021 | 02/2023 |
| Endeavor Retirement | Austin | TX | 02/2023 | 04/2024 |
| 3(38) Investment Fiduciaries | Austin | TX | 05/2024 | Present |
| Monarch Plan Advisors | Austin | TX | 05/2024 | Present |
| K(Quote) | Austin | TX | 05/2024 | Present |
k(quote) not investment-related 3355 Cochran St, Suite 101, Simi Valley, CA 93063 technology company that offers independent and unaffiliated advisors and financial product sponsors the ability to request recordkeeper bids for their corporate retiremetn plan clients and prosepctive clients Account Relationship Manager 05/15/2024 10 hours per month all hours during trading customer-service
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-27 |
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