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Current Employers
Independent Financial Partners

3030 North Rocky Point Drive West Suite 700, Tampa, FL 33607 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-06-08
  • CA RA
    APPROVED
    Since 2023-06-08

Branch Locations

3030 North Rocky Point Drive West Suite 700, Tampa, FL 33607 • United States

2305B W 190Th St, Torrance, CA 90504 • 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
Lpl Financial Llc Torrance CA 10/2007 05/2023
Independent Financial Partners Torrance CA 09/2016 05/2019
Unify Federal Credit Union Torrance CA 08/2016 Present
Ifp Securities, Llc Tampa FL 06/2023 Present
Independent Financial Partners Tampa FL 06/2023 Present
Previous Registrations
  • 2007-10-03 → 2023-06-14
    Hawthorne, CA
    Huntington Beach, CA
    Torrance, CA
    Santa Ana, CA
    Los Angeles, CA
    Carson, CA
    Torrance, CA
    Hawthorne, CA
    Fort Mill, SC
    Irvine, CA
    Camarillo, CA
    Oxnard, CA
    Ventura, CA
    Camarillo, CA
    Oxnard, CA
    Ventura, CA
    Oxnard, CA
    Camarillo, CA
    Tustin, CA
    Hawthorne, CA
    Torrance, CA
    Frisco, TX
  • 2016-10-12 → 2019-07-30
    Torrance, CA
  • 2003-09-03 → 2007-09-14
    Secu Brokerage Services
    Hawthorne, CA
    Torrance, CA
    Redondo Beach, CA
    Carson, CA
    Irvine, CA
    Santa Ana, CA
Other Businesses

1. UNIFY Investment Solutions -investment related - 2305B W 190Th St Torrance CA 90504 - DBA - employee - start date 2/11/2002 - 120 hours/month - 120 hours/month during trading 2. UNIFY Financial Credit Union - investment related - 2305B W 190Th St Torrance CA 90504 - Program Manager for UNIFY Financial Credit Union - employee - start date 2/11/2002 - 40 hours/month - 40 hours/month during trading 3. UNIFY Financial Credit Union - investment related - 2305B W 190Th St Torrance CA 90504 - Federally Chartered Credit Union - employee - start date 2/11/2002 - 20 hours/month - 20 hours/month during trading - Vice President Oversee the distribution of direct sold insurance products through subsidiary LLC's of UNIFY FCU. Participate in the general administration of UNIFY FCU business. Other duties as assigned. 4. Irlen Syndrome Foundation - not investment related - 5380 E Village Road Long Beach CA 90808 - Non-Profit 501(c)(3) Raise awareness, fund other charitable causes, and fund research - board member - start date 1/1/2018 - 1 hour/month - General Board Member functions. Provide ideas and expertise in applicable areas of experience to benefit the goals of the organization. 5. Anadmial Trust - not investment related - 1404 238th St Harbor City, CA 90710 - family trust - co trustee - Fiduciary Role - start date Dec. 5, 2014 - 1 hour/month - 1 hour/month during trading - Co-Trustee of my own family revocable trust

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-08-26
S63 Uniform Securities Agent State Law Examination 1994-02-07
  • S65 Uniform Investment Adviser Law Examination
    2003-08-26
  • S63 Uniform Securities Agent State Law Examination
    1994-02-07
Other Names
  • Hansen Mauricio

View on SEC IAPD

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