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San Francisco, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-04-26 |
| CA | RA | APPROVED | 2019-06-10 |
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 |
|---|---|---|---|---|
| Concert Wealth Management, Inc. | San Jose | CA | 01/2015 | 06/2017 |
| Sowell Financial Services, Llc | North Little Rock | AR | 09/2016 | 01/2017 |
| Institute For Wealth Advisors, Inc. | Dallas | TX | 01/2017 | 05/2019 |
| Shutzer Investments | San Francisco | CA | 04/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-29 |
| S63 | Uniform Securities Agent State Law Examination | 1983-12-06 |
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