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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
680 Langsdorf Dr. Ste 204, Fullerton, CA 92831 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Asian Community Development | Santa Ana | CA | 03/2004 | Present |
| World Financial Group, Inc. | Tustin | CA | 10/2010 | Present |
| Transamerica Financial Advisors, Inc | Tustin | CA | 01/2012 | Present |
| Ocean House Apartments, Llc | Dana Point | CA | 05/2011 | Present |
| Ksg Health Insurance Services | Dana Point | CA | 10/2010 | Present |
| Casa Sereno, Llc | Dana Point | CA | 01/2015 | Present |
| Casa Pacifico, Llc | Member | CA | 10/2012 | Present |
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Ocean House Apartments, LLC/yes/14 Monarch Bay Plaza Dana Point CA 92629/ Partner/ 5/9/2011 / I am a Partner. No function. /I am a Partner with 25% ownership/I will not have any activity so it will not interfere with my responsibilities to my Firm or its customers. KSG HEALTH INSURANCE SERVICES,14 MONARCH BAY PLAZA, #168, DANA POINT CA 92629, INVESTMENT RELATED, START DATE 10/15/2010, PRINCIPAL, SINCE THIS IS A SOLE PROPRIETORSHIP, I AM RESPONSIBLE FOR OBTAINING CLIENT CENSUS, REQUESTING QUOTES FROM GENERAL AGENCY WORD AND BROWN AND ENROLLING THE CLIENT IN PLAN OF CHOICE., 4HRS PER MONTH CASA PACIFICO, LLC; YES, INVESTMENT RELATED; 14 MONARCH BAY PLAZA, #168, DANA POINT CA 92629; HOLDING INSTRUMENT FOR A 12 UNIT APARTMENT COMPLEX IN SANTA ANA, CA, MEMBER THROUGH COMMUNITY PROPERTY STATUS WITH SPOUSE; 10/4/12; 0 HRS/MONTH; NO DUTIES CASA SERENO, LLC; 01/13/2015; YES RELATED; 14 MONARCH BAY PLAZA, #168, DANA POINT, CA 92629; MEMBER; 63 HRS/MO; 0 TRADING; PROPERTY MGMNT AND ACCOUNTING DUTIES. ASIAN COMMUNITY DEVELOPMENT POSITION: PRESIDENT NATURE: Charitable Educational Non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2004 ADDRESS: 32932 Pacific Coast Highway, 14-168, Dana Point CA 92629, United States DESCRIPTION: Run meetings, help with general decisions of the charity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-29 |
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