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6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2023-03-15 |
Branch Locations
16577 Boones Ferry Rd., Ste 200, Lake Oswego, OR 97035 • United States
6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors Llc | New York | NY | 06/2015 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 06/2015 | 05/2022 |
| Planmember Securities Corporation | Carpinteria | CA | 05/2022 | Present |
| United Financial Nw | Lake Oswego | OR | 05/2022 | Present |
1) United Financial NW-16577 Sw Boones Ferry Rd Suite 200, Lake Oswego, OR 97035; Investment related; Investment services, securities, & insurance sales & services; Financial Professional; Start date 5/2022; 160 hrs/mnth & during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2010-12-08 |
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