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120 E 12Th St, Tracy, CA 95376 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APP_PEND_IARCE | 2026-01-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 09/2015 | 03/2020 |
| 401K Engineers Inc | Tracy | CA | 06/2020 | Present |
1) 401k Engineers 1227 Pleasant Grove Blvd #200, Roseville Ca 95678. Owner of Legal business Entity. 9/15/2017. Investment related. 2hrs/monthly, 2hrs/ during trading. 2.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 8/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3.PNP FINANCIAL INC, 3373 PASEO MIRA VISTA, LINCOLN, CA, 12/2017 AS OWNER OF S-CORP PROVIDING 3(16) SERVICES. NIR - 20/WK - 8/TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1991-05-09 |
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