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340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-10-09 |
Branch Locations
800 South Street Suite 350, Waltham, MA 02451 • United States
340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Wellesley | MA | 12/2008 | 09/2016 |
| The Harvest Group Wealth Management, Llc | Waltham | MA | 09/2016 | 06/2023 |
| Purshe Kaplan Sterling Investments, Inc. | Albany | NY | 09/2016 | 06/2023 |
| Aw Securities | Folsom | CA | 07/2023 | Present |
| Allworth Financial | Folsom | CA | 07/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-23 |
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