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120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2006-06-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nfp Retirement, Inc. | Aliso Viejo | CA | 02/2006 | 10/2025 |
| Kestra Investment Services, Llc. | Austin | TX | 07/2014 | Present |
| Flexpath Strategies | Aliso Viejo | CA | 01/2015 | 05/2023 |
| Wealthspire Retirement Advisory | Aliso Viejo | CA | 10/2025 | Present |
Business Name: 401(k) Advisors Inc Investment Related: Yes Address: 120 Vantis, Suite 400 Aliso Viejo CA 92656 Nature of Business: Consulting Position, Title or Relationship: senior vice president Start Date: 2/1/2006 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: head up service team and provide ERISA guidance Business Name: NFP Retirement Investment Related: Yes Address: 120 Vantis, Ste. 400 Aliso Viejo CA 92626 Nature of Business: Consulting Position, Title or Relationship: Senior Vice President Start Date: 2/1/2006 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Oversee plan consultant team; provide ERISA guidance Business Name: Matt Leinart Flag Football League Investment Related: No Address: staff@mlflag.com Orange County CA 92626 Nature of Business: Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: Coach Start Date: 9/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Coaching children Business Name: NATIONAL ASSOCIATION OF PLAN ADVISERS POSITION: Firm Partner Representative NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/13/2024 ADDRESS: 4401 N. Fairfax Drive, Suite 600, Arlington VA 22203 DESCRIPTION: Serve as a voice of NAPA's constituency.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2006-06-09 |
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