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Current Employers
Foundations Investment Advisors Llc

4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-07-29
  • CA RA
    APPROVED
    Since 2021-07-29

Branch Locations

3300 Douglas Boulevard Suite 150, Roseville, CA 95661 • United States

4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Foundations Investment Advisors Llc Phoenix AZ 07/2021 Present
Golden Empire Council Sacramento CA 09/2015 12/2018
Capitol Planning Group Sacramento CA 02/2019 Present
  • 07/2021 → Present
    Phoenix, AZ
  • 09/2015 → 12/2018
    Golden Empire Council
    Sacramento, CA
  • 02/2019 → Present
    Capitol Planning Group
    Sacramento, CA
Previous Registrations
  • 2014-08-04 → 2015-04-06
    Citrus Heights, CA
    Citrus Heights, CA
    St Louis, MO
Other Businesses

INSURANCE SALES; INVESTMENT-RELATED; SACRAMENTO, CA; INSURANCE AGENT; 2021; APPROXIMATELY 60 HRS/MO DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-06-09
S66 Uniform Combined State Law Examination 2014-05-16
  • S65 Uniform Investment Adviser Law Examination
    2020-06-09
  • S66 Uniform Combined State Law Examination
    2014-05-16

View on SEC IAPD

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