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3625 E. Thousand Oaks Blvd. Suite 145, Westlake Village, CA 91362 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2013-02-27 |
Branch Locations
3625 E. Thousand Oaks Blvd. Suite 145, Westlake Village, CA 91362 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fsc Securities Corporation | Westlake Village | CA | 06/1998 | 11/2023 |
| Zephyr Investment Management | Westlake Village | CA | 01/2013 | Present |
| Osaic Wealth, Inc. | Westlake Village | CA | 11/2023 | Present |
1) ZEPHYR INVESTMENT MANAGEMENT. INVESTMENT RELATED; POSITION: ADVISOR, CHIEF INVESTMENT STRATEGIST; 200 HOURS/MTH; 8 DURING SECURITY TRADING HOURS; DUTIES: WORKING WITH CLIENTS, INVESTING ASSETS IN STOCKS, BONDS, MUTUAL FUNDS, VARIABLE ANNUITIES. PREPARE FINANCIAL PROJECTIONS. CLIENT MEETINGS, UPDATES, PHONE CALLS, ETC. 2)ZEPHYR INVESTMENT MANAGEMENT POSITION: Advisor Rep NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2013 ADDRESS: 3625 E. Thousand Oaks Blvd., #145 Westlake Village, CA 91362, Westlake Village CA 91362, United States DESCRIPTION: Working with clients, recommending investments in stocks, bonds, mutual funds. Prepare financial projections. Client meetings, updates, phone calls, etc.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-03 |
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