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14600 Branch St., Omaha, NE 68154 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-01-31 |
Branch Locations
2370 Kerner Blvd. Suite 350, San Rafael, CA 94901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | San Francisco | CA | 03/2015 | 01/2019 |
| Sterling Bank & Trust | San Francisco | CA | 02/2015 | 01/2019 |
| Cwm, Llc | Omaha | NE | 02/2019 | Present |
| Cetera Advisor Networks | El Segundo | CA | 02/2019 | 04/2025 |
| Carson Wealth | San Rafael | CA | 01/2019 | Present |
NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES AND LONG TERM CARE NAME OF OTHER BUSINESS: Corinthian Yacht Club of San Francisco INVESTMENT RELATED: NO ADDRESS: 43 MAIN STREET Tiburon CA NATURE OF BUSINESS: ADVISORY BOARD START DATE: 01/2021 POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS APX NUMBER OF HOURS PER WEEK: 2 HOURS PER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-17 |
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