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1760 The Alameda, San Jose, CA 95126 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED | 2022-09-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Folsom | CA | 03/2015 | 08/2017 |
| Bank Of America, N.A. | Folsom | CA | 04/2015 | 08/2017 |
| Citigroup | Sacramento | CA | 08/2017 | 03/2021 |
| Kera Capital Partners, Inc. | Sacramento | CA | 03/2021 | Present |
Highland Capital Brokerage; Insurance Sales; Investment-related; Sacramento, CA; Insurance Broker; 0 hours/month during securities trading hours; Less than 10 hours/month outside of securities trading hours. Sell insurance products for commission. HBB Management LLC; Real Property Holdings; Investment-related; Sacramento, CA; Affiliation started on 06/03/2020; Title: Member; Duties: Investor; 0 hours devoted each month during securities trading hours; 2 hours devoted each month outside securities trading hours. BUCB20210826 LLC; Managing Member. Entity solely used for making passive investments with personal Roth IRA. Duties: Investor; 0 hours devoted each month during securities trading hours; 2 hours devoted each month outside securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-09 |
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