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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-03-14 |
| CA | RA | APPROVED | 2016-09-22 |
Branch Locations
3700 Douglas Blvd, Roseville, CA 95661 • United States
Chico Park Plaza 780 Mangrove Ave, Chico, CA 95926 • 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 |
|---|---|---|---|---|
| Sagepoint Financial, Inc. | Las Vegas | NV | 10/2005 | 09/2016 |
| Independent Capital Management | Las Vegas | NV | 11/2005 | 09/2016 |
| Raymond James Financial Services, Inc. | Roseville | CA | 09/2016 | Present |
| Tri-Counties Bank | Roseville | CA | 10/2017 | Present |
| Raymond James Financial Services Advisors Inc. | Roseville | CA | 09/2016 | Present |
| Non-Variable Insurance | Roseville | CA | 12/2017 | 08/2019 |
(1) Name of Business: NA Address: 7516 Chorus Ave, Roseville , CA, 95747, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 12/01/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am the owner of the condo and am acting as the landlord. (2) Name of Business: Tri Counties Advisors Address: 3700 Douglas Blvd, Roseville, CA, 95661, United States Activity Type: Support Company - Non Owner Position/Title: Officer - Vice President, Associate/Employee Investment Related: No Start Date: 03/10/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: I am the OSJ and active advisor for Tri Counties Advisors (3) Name of Business: Tri Counties Bank Address: 3700 Douglas Blvd, Roseville, CA, 95661, United States Activity Type: Bank or Credit Union Associate Position/Title: Director Investment Related: Yes Start Date: 10/03/2017 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Director of Wealth Management
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 2005-10-21 |
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