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Madera, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-22 |
| CA | RA | APPROVED | 2021-11-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Fresno | CA | 06/2014 | 12/2016 |
| Princor Financial Services Corporation | Fresno | CA | 06/2014 | 12/2016 |
| Pathways Advisory Group, Inc | Fresno | CA | 12/2016 | 10/2021 |
| Optometry Wealth Advisors Llc | Madera | CA | 09/2021 | Present |
| Princor Financial Services Corporation | Fresno | CA | 03/2015 | 12/2016 |
| Smartpath Advisors, Llc | Atlanta | GA | 01/2022 | Present |
Name of the other business: Optometry Wealth Advisors, LLC Investment-related: Yes Address of the other business: 755 E Nees Ave #27482, Fresno, CA 93729 Nature of the other business: Optometry Wealth Advisors, LLC is a financial planning and investment management firm Position/title: Founder and Chief Compliance Officer Start date: September 2021 Approximate number of hours per month: 160 Approximate number of hours per month during securities trading hours: 140 Duties: Providing financial planning and investment management services
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 2014-07-07 |
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