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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-10-31 |
Branch Locations
9355 East Stockton Blvd. Ste 160, Elk Grove, CA 95624 • 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 |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Stockton | CA | 05/1997 | 10/2016 |
| Charles Schwab Bank | Stockton | CA | 02/2005 | 10/2016 |
| World Financial Group, Inc. | Elk Grove | CA | 09/2018 | Present |
| Transamerica Financial Advisors, Inc | Elk Grove | CA | 10/2018 | Present |
| Retired | Stockton | CA | 11/2016 | 08/2018 |
Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-18 |
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