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3131 Camino Del Rio N. Suite 800, San Diego, CA 92108 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-27 |
Branch Locations
3131 Camino Del Rio N. Suite 800, San Diego, CA 92108 • United States
150 S Los Robles Ave Suite 750, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Thrivent Investment Management Inc | Valencia | CA | 02/2010 | 09/2020 |
| Thrivent Financial For Lutherans | Valencia | CA | 09/2009 | 08/2018 |
| Thrivent Financial | Appleton | WI | 08/2018 | 09/2020 |
| Massmutual Life Insurance | Pasadena | CA | 10/2020 | 02/2024 |
| Mml Investors Services | Pasadena | CA | 10/2020 | 02/2024 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2024 | Present |
| Sovran Advisors Llc - Crd 329415 | Pasadena | CA | 02/2024 | Present |
| James Loken | Pasadena | CA | 10/2020 | Present |
1. NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC - CRD 329415; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE; START DATE: 02/2024; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 25; BRIEF DESCRIPTION OF DUTIES: NON-PRODUCING / ADMINISTRATIVE ROLE; 2. NAME OF OTHER BUSINESS: JAMES LOKEN; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EMPLOYMENT / FINANCIAL SERVICES; START DATE: 10/2020; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 25; BRIEF DESCRIPTION OF DUTIES: ACCOUNT INVESTMENT (STOCK, BOND, MUTUAL FUND TRADING), INVESTMENT RESEARCH, NEW BUSINESS AND ACCOUNT OPENING, TRANSFER OF ASSETS TRACKING, MONEY MOVEMENT, ACCOUNT MAINTENANCE, CUSTOMER SERVICE; ;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-05-14 |
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