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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-04-01 |
Branch Locations
28202 Cabot Road Suite 300, Laguna Niguel, CA 92677 • United States
Laguna Niguel, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Irvine | CA | 09/2013 | 03/2021 |
| Commonwealth Financial Network | San Diego | CA | 03/2021 | Present |
| Coastal Wealth Inc | Laguna Niguel | CA | 03/2021 | 12/2022 |
1. Fixed insurance sales; as of 3/31/2021; 10% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Knick Inc., a private entity established to facilitate securities, advisory, and insurance business; as of 7/01/2021; 0% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-11-22 |
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