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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-06-27 |
| CA | RA | APPROVED | 2022-06-22 |
Branch Locations
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • 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 |
|---|---|---|---|---|
| Allstate Insurance Co | Santa Ana | CA | 12/2015 | 11/2016 |
| Bank Of America, N.A. | Fountain Valley | CA | 11/2016 | 02/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fountain Valley | CA | 11/2016 | 02/2022 |
| Centaurus Financial, Inc. | Anaheim | CA | 02/2022 | 02/2022 |
| Ramos Consulting & Wealth Management Inc. | Downey | CA | 11/2021 | Present |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2010-11-06 |
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