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101 Larkspur Landing Circle Suite 221, Larkspur, CA 94939 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-05-02 |
| CA | RA | APPROVED | 2003-10-31 |
Branch Locations
101 Larkspur Landing Circle Suite 221, Larkspur, CA 94939 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Broadwing Capital Advisors, Inc. | Mill Valley | CA | 10/2003 | Present |
LA BALLENA MEXICO PARTNERS, LLC, NOT INVESTEMENT RELATED, INCLINE VILLAGE, NV, REAL ESTATE INVESTMENT, MEMBER OF ADVISORY BOARD AND LIMITED PARTNER, 2006, APPROXIMATELY 2 HOURS PER MONTH IS DEVOTED TO THIS BUSINESS, 0 DURING TRADING HOURS, DUTIES INCLUDE OFFERING BUSINESS RELATED ADVICE TO GENERAL PARTNERS.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-04-07 |
| S65 | Uniform Investment Adviser Law Examination | 1996-06-19 |
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