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4701 Teller Ave, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Seal Beach | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Seal Beach | CA | 11/2016 | 07/2023 |
| Miramontes Capital, Llc | Newport Beach | CA | 07/2023 | Present |
1. ROSSMOOR/LOS ALAMITOS SEWER DISTRICT; NOT INV. RELATED; P.O. BOX 542, LOS ALAMITOS, CA 90720; ELECTED TRUSTEE FOR 4 YEAR TERM, JAN1, 2023 TO DECEMBER 2026; TRUSTEE; APPOINTED JUNE 2022; 3 HRS PER MONTH; 0 HRS DURING TRADING; OVERSEE BUDGET, GENERAL MANAGER OF SEWER DISTRICT MAINTENANCE REPAIRS. 2. DAVID BOYER TRUSTEE, LARRY A. BOYER: HOLLY E BOYER FAMILY TRUST, INV RELATED, 11941 PINE ST., LOS ALAMITOS, CA, 90720; SETTLEMET OF FAMILY TRUST, DISTRIBUTION OF ASSETS; TRUSTEE (POSITION: NON INV-REL); 12/20/2022, 1 HOUR A MONTH, 0 HOURS DURING TRADING; TRUSTEE TO SETTLE MOTHER & FATHER'S ESTATE 3. LOS ALAMITOS UNIFIED SCHOOL DISTRICT; NOT INV. RELATED; 10239 BLOOMFIIELD AVE., LOS ALAMITOS, CA 90720; APPOINTED TO PERSONNEL COMMISSION CHAIR; COMMISSIONER; APRIL 2022; 2 HRS PER MONTH; 0 HRS DURING TRADING; MEMBER OF 3 PERSON PANEL OVERSEEING MERIT SYSTEM FOR CLASSIFIED EMPLOYEES OF DISTRICT. 4. LOS ALAMITOS CHAMBER OF COMMERCE; NOT INV. RELATED; LOS ALAMITOS, CA, DIRECTOR ON BOARD OVERSEEING CHAMBER MEMBERSHIP, BUDGET AND ACTIVITIES; DIRECTOR; JANUARY 2021, 3 HRS PER MONTH; 0 HRS DURING TRADING; OVERSEE CHAMBER MEMBERSHIP. 5. MIRAMONTES CAPITAL; INV REL; 4701 TELLER AVE., NEWPORT BEACH CA 92660; REGISTERED INVESTMENT ADVISOR; INVESTMENT ADVISOR REPRESENTATIVE, 07/18/2023; 40 HRS PER MONTH; 40 HRS DURING TRADING; COMPREHENSIVE FINANCIAL PLANNING & INVESTMENT SERVICES, INSURANCE & RETIREMENT PLANNING. 6. INSURANCE AGENT; INV REL; 4701 TELLER AVE., NEWPORT BEACH CA 92660; FIXED INSURANCE SALES & SERVICE; INSURANCE AGENT; 7/18/2023; 40 HRS PER MONTH; 5 HRS DURING TRADING; INSURANCE SALES & SERVICE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-30 |
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