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101 Montgomery Street Suite 1250, San Francisco, CA 94104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-03-29 |
Branch Locations
21 West Alisal Suite 101, Salinas, CA 93901 • United States
101 Montgomery Street Suite 1250, San Francisco, CA 94104 • United States
One Financial Way, Cincinnati, OH 45242 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2012-03-15 |
| CA | RA | APPROVED | 2004-09-01 |
Branch Locations
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 |
|---|---|---|---|---|
| The O.N. Equity Sales Company | Cincinnati | OH | 07/1993 | Present |
| S & B Financial, Inc. | Salinas | CA | 07/1993 | Present |
| Embarcadero Financial Group | San Francisco | CA | 01/2017 | Present |
1). EMBARCADERO FINANCIAL; INVESTMENT RELATED; 7 John Street Salinas CA 93901; ADVISOR; START - 01/01/2017-PRESENT; 0 HRS/MO; 0 TRADING/MO; WORKING ON EMBARCADERO PLATFORM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-19 |
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