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Account
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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-07-05 |
| CA | RA | APPROVED | 2021-07-15 |
Branch Locations
155 North Lake Avenue Suite 430, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Poke Bistro | Riverside | CA | 06/2016 | 04/2017 |
| Foresters Financial Services | Monrovia | CA | 09/2017 | 03/2018 |
| University Of California, Riverside | Riverside | CA | 09/2012 | 06/2017 |
| Foresters Financial Services | Monrovia | CA | 03/2018 | 05/2019 |
| Cetera Investment Services Llc | Monrovia | CA | 05/2019 | Present |
| Cetera Investment Advisers Llc | Monrovia | CA | 07/2021 | Present |
1. NOTARY, DOES NOT INVOLVE CETERA CLIENTS OR DOCUMENTS, 100% OWNER, 1-2/HRS/WK. 2. FINANCE DIRECTOR FOR PROJECT BY PROJECT (LOS ANGELES CHAPTER), VIEW ONLY ACCESS TO BANK ACCOUNTS & CHECK WRITING IN DUAL CAPACITY, 1-2/HRS/WK 3. ASSOCIATED FINANCIAL PROFESSIONAL FOR GROUNDED WEALTH ADVISORS, LLC; DBA FOR CETERA BUSINESS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 2017-11-16 |
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