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5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-02-09 |
Branch Locations
5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors, Inc | Laguna Hills | CA | 08/2017 | 08/2018 |
| World Financial Group, Inc. | Laguna Hills | CA | 11/2015 | 08/2017 |
| Grand Prospects Financial & Insurance Services | City Of Industry | CA | 08/2018 | Present |
| Fortune Securities Inc | Alhambra | CA | 03/2019 | 12/2020 |
| Castle Group Investment Counsel, Inc. | Arcadia | CA | 07/2020 | 12/2020 |
| Innovation Partners Llc | Charlotte | NC | 01/2021 | Present |
| Ip Financial Services, Llc | Charlotte | NC | 02/2021 | Present |
Independent insurance agent; Grand Prospects Financial & Insurance Services; City of Industry, CA; 08/2018 to present; 20 hours/week, 0 hours during trading hours; No investment related Registered Representative; Fortune Securities, Inc.; Alhambra, CA; 03/2019 to present; 20 hours/week, 15 hours during trading hours, investment-related Registered Investment Advisor Rep; Castle Group Investment Counsel, Inc.; Arcadia, CA; 07/2020 to present; 2 hours per month, 0 hours during trading hours, investment-related Management and Business Development, CEO- Exeter Energy Inc; 35 Waterspout, Irvine CA 92620. Commission Base, 20 hours per week, Non-Investment-related. Providing cleaning service for solar panels using IPV cleaning robot. Haizol Dot Com, BD And marketing for automated intelligent system, Marketing support, $30k approx 10 week. BGA Insurance Group, For Profit. Insurance Agent. Start Date: 04/10/2025, End Date 04/10/2026. 35 Watersprout, Irvine, CA 92620. Very limited investment advisory, focus on insurance, annuity, and index insurance products. 15 hours per week. Business hour depends on potential client need.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-04-05 |
| S63 | Uniform Securities Agent State Law Examination | 2017-08-08 |
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