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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-22 |
Branch Locations
6 Venture, Suite 390, Irvine, CA 92618 • United States
305 Madison Avenue, Morristown, NJ 07960 • United States
Tustin, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Financial | Irvine | CA | 05/2015 | 04/2018 |
| Mml Investors Services Llc | Irvine | CA | 05/2015 | 12/2017 |
| Lpl Financial Llc | Irvine | CA | 04/2018 | Present |
| Ak Financial Group | Irvine | CA | 05/2018 | Present |
| Private Advisor Group, Llc | Morristown | NJ | 07/2022 | Present |
1) 04/19/2018 - For-Profit Board Member - Irvine Holistic Chamber of Commerce - IRVINE, CA 2) 6/8/2018 - AK Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:05/24/2018 - 160 Hour(s) Per Month/160 Hour(s) During Trading - I provide investment advisory services through AK Financial, an independent investment advisor firm. I started this business activity on 6/8/2018. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 7/30/2018 - No Business Name - Investment Related - Address would vary. - Other-CE Instructor - Start Date: 04/08/2006 - 1 Hour Per Month/0 Hours During Securities Trading - CE/CPE instructor for CA and AZ. 4) 01/02/2019 - Holistic Financial Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/05/2018 - 0 hrs/month - 2 hours during securities trading 5) 1/12/2021 - Independence Financial & Insurance Services Center - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/01/2018 - 2 Hours Per Month During Securities Trading. 6) 04/05/2022 - MassMutual- Investment Related - Non-Variable Insurance - Start Date - 10/01/2021 - 0 Hours Per Month/ 0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-31 |
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