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440 Louisiana Street Suite 1240, Houston, TX 77002 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-03 |
Branch Locations
440 Louisiana Street Suite 1240, Houston, TX 77002 • United States
350 10Th Avenue Suite 1000, San Diego, CA 92101 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Chula Vista | CA | 11/2016 | 01/2017 |
| Snowden Lane Partners | New York | NY | 01/2017 | 06/2017 |
| Bancwest Investment Services, Inc. | La Jolla | CA | 12/2017 | 03/2020 |
| Bank Of The West | La Jolla | CA | 12/2017 | 03/2020 |
| Securities America, Inc. | San Diego | CA | 03/2020 | 12/2020 |
| Pfg Advisors | San Diego | CA | 03/2020 | 12/2020 |
| Monex Securities, Inc. | Houston | TX | 04/2023 | Present |
| Monex Asset Management, Inc. | Houston | TX | 04/2023 | Present |
| Insight Securities, Inc. | El Paso | TX | 03/2021 | 04/2023 |
| Wells Fargo Advisors Llc | Chula Vista | CA | 01/2011 | 11/2016 |
| Monex Securities, Inc. | Houston | TX | 09/2017 | 11/2017 |
| Monex Asset Management, Inc. | Houston | TX | 09/2017 | 11/2017 |
1) Health insurance renewals through Blue Shield of CA & Vumi Group, it is investment related, located at 940 Sullivan Ct, Chula Vista, CA 91911, provides minimal services to a small health insurance book of business, working as an agent, activities started in 1994, will spend approx 1 hour a month. 2) Residential rental property, not investment related, located at 4010 Porte LaPaz #66 San Diego, CA 92122, owner of the property and rents the property, looks for tenants in the case of vacancy, coordinates routine maintenance as necessary, started in 2015 and spends approx 1 hr a month. 3) PWC; NON-INVESTMENT RELATED; 300 MADISON AVE., NEW YORK, NY 10017; FINANCIAL WELLNESS WORKSHOP PRESENTER; INDEPENDENT CONTRACTOR; 5/6/2024; 50-75 HRS/MO; 10-15 HRS/MO DURING TRADING HOURS; PROVIDE ACTION ORIENTED FINANCIAL PLANNING WORKSHOPS AND WEBINARS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-02 |
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