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10876 S River Front Pkwy Suite 600, South Jordan, UT 84095 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-05 |
Branch Locations
10876 S River Front Pkwy Suite 600, South Jordan, UT 84095 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Penniall & Associates, Inc. | Pasadena | CA | 07/2008 | 08/2017 |
| United Planners' Financial Services | Scottsdale | AZ | 08/2009 | 10/2017 |
| Core Compliance & Legal Services, Inc. | San Diego | CA | 05/2015 | 07/2017 |
| American Financial Network Advisory Services, Llc | Calabasas | CA | 08/2017 | 03/2018 |
| Dfpg Investments, Inc. | Sandy | UT | 10/2017 | Present |
| Diversify Advisory Services, Llc | Sandy | UT | 11/2023 | Present |
1. Craig Watanabe-Insurance; Non-Investment Related; 727 Foothill Blvd, La Canada CA 91011; Insurance; Insurance Agent; 08/2017; 1% during business hours; Non-variable insurance 2. RIA Compliance Firm, LLC; 727 Foothill Blvd, La Canada CA 91011; Start Date: 1/21/2019; Compliance Consultant, 01/2019; 10% during business hours; RIA compliance consulting 3. Willow Creek Compliance Consulting (DFPG Investments); 9017 S Riverside Dr, Sandy UT 84070; Start date: 1/1/2022; Compliance Consultant, 8% during business hours; Provide compliance consulting for RIAs 4. DFPG Investments, LLC. Investment related: Yes. 9017 S Riverside Dr, Sandy UT 84070; Start date 01/01/2024. Registered Representative. 5. Diversify Advisory Services, LLC. Investment related: Yes. 9017 S Riverside Dr, Sandy UT 84070; Start date 01/01/2024. Investment Adviser Representative
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-19 |
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