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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Visalia | CA | 02/1986 | 11/2024 |
| Principal Securities, Inc. | Visalia | CA | 04/1986 | 11/2024 |
| Commonwealth Financial Network | San Diego | CA | 11/2024 | Present |
| Artha Wealth Advisors | Visalia | CA | 11/2024 | Present |
1.Fixed insurance sales, located in Fresno, CA, as of 10/01/2024, 25% time spent during business hours; Conducted at branch location; Investment related. 2. Owner & Artist, New Artist Old Soul; art studio, classes, and sales; Located at 3720 El Camino Real, Atascadero, CA 93422, as of 1/31/2024; 0% of time spent during business hours; Not conducted at branch location; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-08-12 |
| S65 | Uniform Investment Adviser Law Examination | 2016-04-04 |
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