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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-07-05 |
| UT | RA | APPROVED | 2022-07-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Planners' Financial Services | Scottsdale | AZ | 04/2015 | 11/2017 |
| Eddie Snow - Independent Insurance Agent | Salt Lake City | UT | 05/2002 | 11/2017 |
| Rock House Financial | Farmington | UT | 04/2015 | 11/2017 |
| Signal Wealth Advisors | Centerville | UT | 11/2017 | 07/2022 |
| Cwm, Llc | Omaha | NE | 11/2017 | 07/2022 |
| Cetera Advisor Networks Llc | El Segundo | CA | 11/2017 | 05/2019 |
| Royal Alliance | Salt Lake City | UT | 05/2019 | 07/2022 |
| Charles Schwab & Co., Inc. | Farmington | UT | 07/2022 | Present |
1) Stone Hill National | Investment Related:No|Insurance|Agent|5/14/2019|Less than 20|0.01|Non variable life insurance (term), 2) E Rainman LLC | Investment Related:No|Financial Services|Franchise Owner|11/7/2025|Less than 20|1|Entity established exclusively in connection with the rep’s independent broker relationship with the firm for liability, protection and tax purposes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-24 |
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