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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2004-06-16 |
Branch Locations
2840 S. Harbor Blvd. Suite C3, Oxnard, CA 93035 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sws Financial Services | Pasadena | CA | 06/2004 | Present |
1] NOTARY PUBLIC - PERFORM NOTARY PUBLIC FUNCTIONS WHEN NEEDED - NON BUSINESS RELATED - OXNARD, CA - ZERO HRS DURING BSNSS HRS - LESS THAN A 2 HRS PER IN A ONE YR PERIOD DURING NON-BSNSS HRS 2] A HEALTH INSURANCE AGENT - I AM A LICENSED LIFE AND HEALTH AGENT IN CA - STARTED JULY 2015 - LESS THAN 2 HRS EACH QTR DURING NON-BSNSS HRS - ZERO DURING BSNSS HRS - OXNARD, CA - NO CONFLICTS OF INTEREST
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-28 |
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