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340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-12-21 |
| TX | RA | APPROVED | 2022-12-21 |
Branch Locations
340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Chico | CA | 07/2004 | 12/2022 |
| Aw Securities | Folsom | CA | 12/2022 | Present |
| Allworth Financial | Folsom | CA | 12/2022 | Present |
1) 10/22/2014 - REDROCK FINANCIAL AND INSURANCE SERVICES, INC. - NON-VARIABLE INSURANCE - TIME SPENT 2 HOURS PER MONTH - CHICO, CA 2) 07/11/2016 * AJB Legacy, Inc. * Real Estate Rental * INV REL * 116 Henshaw Avenue, Chico, California. * Real Estate Rental has been incorporated. The name has changed to AJB Legacy Inc. The rental is the office building we are located in and the building is rented back to RedRock Financial and Insurance Services, Inc.; Kim Huber; Barbara Wagoner and Corporon Law Office. The rent includes janitorial, alarm service, utilities and all building maintenance. * START 05/01/2005 * 2 HRS/MO; 0 DURING SECS TRDG HRS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-24 |
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