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111 W. Ocean Blvd, 4Th Floor, Long Beach, CA 90802 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-23 |
Branch Locations
25101 The Old Road, Ste 114, Stevenson Ranch, CA 91381 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Stevenson Ranch | CA | 01/2020 | 08/2024 |
| Raymond James Financial Services Advisors, Inc. | Stevenson Ranch | CA | 01/2020 | 08/2024 |
| Waddell & Reed | Torrance | CA | 07/2006 | 01/2020 |
| Triton Wealth Advisors | Stevenson Ranch | CA | 10/2022 | Present |
| Crux Wealth Advisors | Stevenson Ranch | CA | 01/2020 | Present |
| Arete Wealth Management | Chicago | IL | 08/2024 | Present |
(1) Name of Business: Crux Wealth Advisors Address: 25101 The Old Rd Ste 114, Stevenson Ranch, CA, 91381-2206, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 01/17/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor (2) Name of Business: Triton Wealth Advisors Address: 25101 The Old Rd Ste 114, Stevenson Ranch, CA, 91381-2206, United States Activity Type: Support Company - Owner Position/Title: Financial Advisor Investment Related: No Start Date: 10/31/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor (3) Name of Business: Arete Wealth Management, LLC Address: 25101 The Old Rd Ste 114, Stevenson Ranch, CA, 91381-2206, United States Activity Type: Broker/Dealer Non Owner Position/Title: Registered Representative Investment Related: Yes Start Date: 08/16/2024 Hours per month devoted to this business: 32 Hours per month devoted to this business during trading hours: 32 Description of duties: Registered Representative. (4) Fixed Insurance Agent-Stevenson Ranch, CA, 91381-2206, Insurance Agent/Sales; 2 hours per month during trading hours; Start date: 12/2024.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-01-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-26 |
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