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6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-07-22 |
| CA | RA | APPROVED | 2021-01-14 |
Branch Locations
1583 Spinnaker Drive, Suite 212, Ventura, CA 93001 • United States
6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Main Management, Llc | San Francisco | CA | 09/2011 | 10/2020 |
| Ceros Financial Services, Inc. | San Francisco | CA | 02/2016 | 10/2020 |
| Planmember Securities Corporation | Carpinteria | CA | 01/2021 | Present |
| Main Management, Llc | San Francisco | CA | 11/2020 | 11/2021 |
| Mindful Wealth Planners, Llc | Ventura | CA | 01/2021 | Present |
| Mindful Wealth Insurance Solutio | Ventura | CA | 04/2021 | Present |
| Luke King | Ventura | CA | 02/2022 | Present |
1) Mindful Wealth Planners, LLC DBA Mindful Wealth Insurance Solutions-664 Adirondack Ave., Ventura, CA 93003; Investment related; Securities & insurance sales & svcs, and banking entity- Insurance sales conducted under Mindful Wealth Insurance Solutions; Partner/Agent; Start date 1/6/2021; 160 hrs/mnth & during trading. 2)Luke King; 664 Adirondack Ave., Ventura, CA; Start date 2/1/2022; Consultant; Provide periodic business insights through AlphaSights by responding to market research surveys; 1hr/mo; 1 hr/mo during trading; NIR
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-02-26 |
| S65 | Uniform Investment Adviser Law Examination | 2011-11-12 |
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