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6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-03-09 |
Branch Locations
6267 Carpinteria Avenue, Carpinteria, CA 93013 • United States
28720 Roadside Drive, Suite 315, Agoura Hills, CA 91301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Financial Security | Los Angeles | CA | 01/2014 | 06/2019 |
| Alphastar Capital Management, Llc | Cornelius | NC | 09/2021 | 03/2023 |
| Humanitas Llc Dba Humanitas Financial And Insurance Services | Culver City | CA | 05/2019 | Present |
| Planmember Securities Corporation | Carpinteria | CA | 03/2023 | Present |
| Legacy Financial Group | Agoura Hills | CA | 03/2023 | Present |
1) Legacy Financial Group-28720 Roadside Drive, Ste. 315, Agoura Hills, CA 91301; Investment Related; Investment advisory sales & services; Investment Advisor Representative; Start date 3/2023; 140 hrs/mnth & during trading. 2) Humanitas LLC dba Humanitas Financial and Insurance Services-400 Corporate Pointe, Ste. 300, Culver City, CA 90230; Noninvestment related; Life Insurance Agency; Managing Member/Agent; Start 5/2019; 40 hrs/mnth; 20 hrs/mnth during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 1991-04-11 |
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