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James Paul Estes

Desert Wealth Management LLC

Palm Desert, CA

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Current Employers
Desert Wealth Management Llc

Palm Desert, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-05-22
  • CA RA
    APPROVED
    Since 2018-05-22

Branch Locations

Palm Desert, CA • 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
Alpha Wealth Management, Llc San Jacinto CA 07/2011 05/2018
California State University San Bernardino CA 09/2004 12/2022
Finra Los Angeles CA 09/2004 12/2023
Desert Wealth Management Llc Palm Desert CA 05/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-23
S63 Uniform Securities Agent State Law Examination 1994-07-08
  • S65 Uniform Investment Adviser Law Examination
    1998-02-23
  • S63 Uniform Securities Agent State Law Examination
    1994-07-08
Designations

View on SEC IAPD

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