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Eastsound, WA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-10-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Concert Wealth Management, Inc | San Jose | CA | 12/2015 | 12/2016 |
| Sowell Management Services | North Little Rock | AR | 10/2016 | 09/2017 |
| Align Advisor Services | San Francisco | CA | 09/2017 | Present |
| Pacific Fortune Management | San Francisco | CA | 05/2018 | 06/2019 |
| Eastsound Capital Advisors | Eastsound | WA | 10/2020 | Present |
Owner and sole employee of Align Advisor Services. A compliance consulting service that provides regulatory compliance for RIAs. Located at 2054 43rd Avenue, San Francisco, CA. I promote 20 hours a week to the compliance consulting providing regulatory and compliance information to Advisors Investment Advisor, Eastsound Capital Advisors,5 hours a week during market hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-02-02 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-01 |
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