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6772 Magnolia Avenue, Riverside, CA 92506 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tricord Advisors | Riverside | CA | 08/2012 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 11/2023 | 02/2025 |
| The Leaders Group Inc | Summit | NJ | 07/2025 | Present |
1.) TRICORD ADVISORS - 8/1/12 - 6772 Magnolia Avenue, Riverside, CA 92506 - Chief Compliance Officer & Financial Planner, Compliance & Sales, Invt Rel, RA business, 160 hrs/mo; 160 hrs/mo (during trading hours).
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-12-28 |
| S65 | Uniform Investment Adviser Law Examination | 2013-01-25 |
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