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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-06-06 |
| NV | RA | APPROVED | 2023-01-19 |
| AZ | RA | APPROVED | 2023-01-17 |
| OR | RA | APPROVED | 2023-01-06 |
| NY | RA | APPROVED | 2023-01-05 |
| TX | RA | APPROVED_RES | 2023-01-05 |
| WA | RA | APPROVED | 2023-01-05 |
| CA | RA | APPROVED | 2022-12-06 |
Branch Locations
949 S Coast Drive Suite 220, Costa Mesa, CA 92626 • 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 |
|---|---|---|---|---|
| Securian Financial Services, Inc. | St. Paul | MN | 03/1995 | 12/2018 |
| Minnesota Life | St Paul | MN | 12/1994 | 12/2018 |
| Tax & Financial Group | Newport Beach | CA | 12/1994 | 12/2018 |
| Cooper Mcmanus | Irvine | CA | 12/2018 | 03/2021 |
| Massmutual Life Insurance Company | Costa Mesa | CA | 03/2021 | 12/2022 |
| Mml Investor Services | Costa Mesa | CA | 04/2021 | 12/2022 |
| Bml Wealth Management | Irvine | CA | 12/2018 | 03/2021 |
| Guardian Life Insurance Company | San Diego | CA | 12/2022 | 05/2023 |
| Park Avenue Securities | San Diego | CA | 12/2022 | 05/2023 |
| Guardian Life Insurance Company | Mesa | AZ | 05/2023 | 06/2023 |
| Park Avenue Securities | Mesa | AZ | 05/2023 | 06/2023 |
| Guardian Life Insurance Company | Costa Mesa | CA | 06/2023 | Present |
| Park Avenue Securities | Costa Mesa | CA | 06/2023 | Present |
1) JWC Insurance Services: sell group, individual and Medicare insurance through JWC and receive 50% of the monthly commissions. Start Date: 10/31/2022, Address: 580 Brooks Street, Laguna Beach, CA 92651-2935, 0 total hours per month, Less than 10% annual compensation, Investment Related, 2) PSZ Housing Corporation 501(3)(c): Investment committee, communicate what the outside investment manager of our funds to the board. I make no investment decisions on assets, Start Date: 11/15/2022, Address: 580 Brooks Street, Laguna Beach, CA 92651-2935, 3 total hours per month; 0 during securities trading hours, No annual compensation, Investment Related, 3) Lambda Chi Alpha National Fraternity: I am the chairman of the Lambda Chi Alpha, National Fraternity, Southern, California Alumni Association, Start Date: 11/14/2020, Address: 580 Brooks street, Laguna beach, CA 92651-2935, 6 total hours per month; 0 during securities trading hours, No annual compensation, Not Investment Related, 4) Insurance other than Guardian, Start Date: 10/01/2024, Address: 949 South Coast Dr., Costa Mesa, CA 92626, 6 total hours per month; 3 during securities trading hours, Less than 10% annual compensation, Investment Related, 5) Arthur D. Veyna Insurance and Financial Services Inc.-DBA, Nature of Business: personal tax filings annually, Start date: 09/17/2003, Address: 580 Brooks Street Laguna Beach, CA 92651, Duties: Legal Entity, 1 total hour per month; 0 during securities trading hours, Not investment related,
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-06-09 |
| S65 | Uniform Investment Adviser Law Examination | 2006-02-22 |
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