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Current Employers
Mutual Advisors, Llc

9140 W Dodge Road Suite 230, Omaha, NE 68114 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-01-07
  • CA RA
    APPROVED
    Since 2019-01-07

Branch Locations

27451 Tourney Rd. Ste. 160, Valencia, CA 91355 • United States

9140 W Dodge Road Suite 230, Omaha, NE 68114 • 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
National Med Ent Santa Monica CA 06/1992 11/2017
National Planning Corporation Saugus CA 06/1999 11/2017
Financial Security Management, Inc. Santa Clarita CA 03/2016 11/2017
Lpl Financial Llc Santa Clarita CA 11/2017 12/2020
Mutual Advisors, Llc. Omaha NE 01/2019 Present
Mutual Securities, Inc. Camarillo CA 12/2020 Present
Previous Registrations
Other Businesses

1. AMIGOS WESTSIDE INVESTMENTS, START DATE: 11/24/2014, 25124 SPRINGFIELD COURT, SUITE 260, VALENCIA, CA 91355, PARTNERSHIP, ITS A REAL ESTATE INVESTMENT HELD IN A SHELL COMPANY THAT OWNS A SMALL PERCENT OF AN LLC, PARTNER, I AM AN INVESTOR, I ALSO MANAGE THE CHECKING ACCOUNT OF THE SHELL COMPANY, DISTRIBUTIONS ARE RECEIVED FROM THE LLC, I THEN DISTRIBUTE THE MONEY TO EACH OF THE PARTNERS, THERE ARE NO MANAGEMENT DECISIONS NOR RESPONSIBILITIES HELD BY ME NOR THE PARTNERS, INVESTMENT RELATED, 10 MINUTES PER MONTH, 0 HORUS PER DAY DURING TRADING HOURS. 2. INDEPENDENT INSURANCE AGENT, START DATE: 01/01/1993, 25124 SPRINGFIELD COURT, SUITE 260, VALENCIA, CA 91355, SOLE-PROPRIETOR, INSURANCE AGENT, INSURANCE AGENT, THERE IS NO CHECKING ACCOUNT, ALL COMMISSIONS ARE DEPOSITED INTO MY CHECKING ACCOUNT, PERIODICALLY I SELL A LIFE INSURANCE, LTC OR HEALTH POLICY, NOT INVESTMENT RELATED, 0 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 3. GWS, INC. DBA PROFESSIONAL TAX SERVICES, START DATE: 01/01/1993, 25124 SPRINGFIELD COURT, SUITE 260, VALENCIA, CA 91355, S CORP, PROVIDE TAX PREPARATION SERVICES, BUSINESS SERVICES, COO, OWNER, TAX PREPARER (ENROLLED AGENT), I GET PAID A SALARY TO PREPARE TAX RETURNS TO RUN THE BUSINESS, NOT INVESTMENT RELATED, 180 HOURS PER MONTH, 8 HOURS PER DAY DURING TRADING HOURS. 4. PINTL Harvard, LLC., Start Date: 01/01/2022, 26767 Via La Paz, Valencia, CA 91381, LLC, Investing into a Real Estate Investment that is held by an LLC, Investor Only, We have no authority to make decisions, N/A, Investment Related, 0 Hours per month, 0 Hours per day during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-02-08
S63 Uniform Securities Agent State Law Examination 1993-04-02
  • S66 Uniform Combined State Law Examination
    2011-02-08
  • S63 Uniform Securities Agent State Law Examination
    1993-04-02

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