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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-06-04 |
| CA | RA | APPROVED | 2018-11-01 |
Branch Locations
3945 Freedom Cir Suite 450, Santa Clara, CA 95054 • United States
370 Diablo Roa Suite 201, Danville, CA 94526 • United States
3950 Civic Center Drive Suite 315, San Rafael, CA 95903 • United States
2175 North California Boulevard Suite 800, Walnut Creek, CA 94596 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Edelman Financial Services Llc | Fairfax | VA | 08/2015 | 11/2018 |
| Ef Legacy Securities, Llc | Henrico | VA | 04/2016 | 10/2018 |
| Financial Engines Advisors L.L.C. | Sunnyvale | CA | 11/2018 | 01/2022 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 01/2022 | Present |
1) N/A; INVESTMENT RELATED: No; ADDRESS: San Francisco, CA; NATURE: Pro Bono work; POSITION: Solo Attorney; START DATE: 02/03/2014; NUMBER OF HOURS/MONTH: 02 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Pro Bono work. 2) Mgrublian Center for Human Rights at Claremont McKenna College; INVESTMENT RELATED: No; ADDRESS: 850 Columbia Avenue, Claremont, CA, 91711; NATURE: The Center promotes the study of Human Rights, with a particular focus on genocide. It sponsors study, programs, authorship, and internships for college students.; POSITION: Advisory Board Member; START DATE: 08/15/2014; NUMBER OF HOURS/MONTH: 03 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: No powers. No duties. We discuss ideas and make recommendations, sometimes the director and team implement. One of those has essentially become a clinic in human rights law. 3) Smulin Contemporary Ballet; INVESTMENT RELATED: No; ADDRESS: 1830 17th St., San Francisco, CA 94103; NATURE: A ballet company; POSITION: Member of Marketing Committee; START DATE: 06/01/2021; NUMBER OF HOURS/MONTH: 03 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Help think of ways to broaden attendance and support.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-03-02 |
| S65 | Uniform Investment Adviser Law Examination | 1998-02-12 |
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