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1138 Cadillac Court, Milpitas, CA 95035-3058 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-08-24 |
Branch Locations
1138 Cadillac Court, Milpitas, CA 95035 • UNITED STATES
1138 Cadillac Court, Milpitas, CA 95035-3058 • United States
Fair Oaks, CA • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Financial Group | Fair Oaks | CA | 06/2013 | 04/2017 |
| Sandlapper Securities, Llc | Greenville | SC | 04/2017 | 07/2017 |
| Sandlapper Wealth Management, Llc | Greenville | SC | 04/2017 | 07/2017 |
| Ni Advisors, Inc. | Milpitas | CA | 08/2017 | Present |
(1) 100% OWNER OF DBA 'FRANSE FINANCIAL ADVISORS', CONDUCTING ALL SECURITIES RELATED BUSINESS, INSURANCE SALES OF LTC, HEALTH, DI, AND ADVISORY SERVICES SINCE JUNE 2013. INVESTMENT RELATED. APPROX 100% TIME SPENT ON ACTIVITY. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD. (2) 100% OWNER OF RENTAL PROPERTIES IN JENNER CA SINCE 2016 AND KUAI, HAWAII SINCE 2005. NON-INVESTMENT RELATED. 4500 MARTSMITH WAY, FAIR OAKS, CA 95628. OWNER of RENTAL PROPERTIES SINCE 1986. 20 HOURS/MONTH 3 HOURS/MONTH DURING NAI BUSINESS HOURS. PROPERTY MANAGEMENT. (3) PRODUCER UNDER THE NAME: TED H FRANSE. NON-INVESTMENT RELATED. 4500 MARTSMITH WAY, FAIR OAKS, CA 95628. EXECUTIVE PRODUCER SINCE 10/16/2016. 4 HOURS/MONTH 0 HOUR/MONTH DURING NAI BUSINESS HOURS. MAKING SURE THE MOVIE AS WAS IN HIS NEED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-01 |
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