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171 Saxony Road Suite 211, Encinitas, CA 92024 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-31 |
| TX | RA | APPROVED | 2023-10-31 |
Branch Locations
171 Saxony Road Suite 211, Encinitas, CA 92024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | San Diego | CA | 07/2010 | 10/2023 |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2023 | Present |
| Swp Financial Llc Dba Salient Wealth Planning | San Diego | CA | 10/2023 | Present |
1. SWP Financial Holdings, LLC DBA Salient Wealth Planning. Investment Related. At the registered location. Financial Planning and Investment Management. Financial Advisor. Employee. 10/2023. 160 hrs/month,160 hrs/month. Work directly with clients and provide comprehensive financial planning and investment management. Fixed Insurance. Investment Related. At the registered location. 2. Fixed Insurance. Investment Related. At the registered location. Fixed / Traditional Insurance. Agent. Agent. 10/2023. 4hrs/ month. 4hrs/month. Provide insurance advice based on the needs of client(s). PKSF. Investment related. At the registered location. Fixed / Traditional Insurance. Agent. Agent. 10/2023. . 4hrs/ month. 4hrs/month. Provide insurance advice based on the needs of client(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-07-23 |
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