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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-24 |
| AZ | RA | APPROVED | 2021-12-22 |
| WA | RA | APPROVED | 2021-12-22 |
Branch Locations
14 East Mission Avenue Suite 4, Spokane, WA 99202 • United States
Sun City West, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc | Seattle | WA | 03/2008 | 11/2020 |
| Securities America, Inc. | Sun City West | AZ | 11/2020 | 12/2021 |
| Securities America Advisors, Inc. | Sun City West | AZ | 11/2020 | 12/2021 |
| Commonwealth Financial Network | San Diego | CA | 12/2021 | Present |
| Opus 111 Group | Spokane | WA | 12/2021 | Present |
1. Fixed insurance sales; as of 12/10/2021; 10% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-05 |
| S63 | Uniform Securities Agent State Law Examination | 1979-08-29 |
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