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300 Frank H. Ogawa Plaza Suite 254, Oakland, CA 94612 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-27 |
| AZ | RA | APPROVED | 2024-05-03 |
Branch Locations
300 Frank H. Ogawa Plaza Suite 254, Oakland, CA 94612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Global Investment Co. | Oakland | CA | 07/1989 | Present |
| Cambridge Investment Research, Inc | Fairfield | IA | 01/2010 | 12/2016 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 01/2010 | 12/2016 |
| Global Investment Company | Oakland | CA | 08/1987 | Present |
| Ozi Company, Llc | Oakland | CA | 02/2019 | 12/2019 |
1)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2)WOMEN'S CHAMBER OF COMMERCE, 417 TURNER DR, BENICIA, CA 94510. BEGAN 7/99 AS MEMBER/FOUNDER OF NON-PROFIT. NOT INVEST RELATED. DEVOTES 2 HRS/MNTH 0/TRADE. 3)METROPOLITAN TRANSPORTATION COMMISSION, 101 8TH ST, OAKLAND, CA 94607. BEGAN 7/08 AS CHAIR/ADVISOR COUNSEL. NOT INVEST RELATED. DEVOTES 5 HRS/MNTH 1 HR/TRADE. 4)STATE OF CA SMALL BUS. ADVISORY COUNCIL, 800 CAPITAL MALL, SACRAMENTO, CA 94510. BEGAN 2/00 AS CHAIR/MEMBER. NOT INVEST RELATED. DEVOTES 15 HRS/YR 0/TRADE. 5)SISTA'S ON THE LINKS, 232 DRAKES BAY, PT.RICHMOND, CA 94510. BEGAN 11/08 AS VP OF NON-PROFIT. NOT INVEST RELATED. DEVOTES 2 HRS/MNTH 0/TRADE. 6)WESTSIDE COMMUNITY SERVICES, 1153 OAK ST., SF, CA 94117. BEGAN 01/30/2011 AS A BOARD OF DIRECTORS AND MEMBER HIS DUTY IF APPROVED, WOULD BE TO ACT IN A DECISION-MAKING CAPACITY REGARDING ORGANIZATION PROGRAMS. NOT INVESTMENT RELATED. DEVOTES 4HR/YR, 0/TRADE. 6) GLOBAL INVESTMENT COMPANY 417 TURNER DR, BENICIA, CA 94510 BEGAN 7/19/84 AS CEO. INVESTMENT RELATED. GLOBAL PROVIDES ON-GOING BUSINESS CONSULTING TO CLIENTS RANGING FROM INDIVIDUALS, TRANSPORTATION AGENCIES, CITIES, SMALL BUSINESS AND COMMUNITY COLLEGE DISTRICTS, TO MENTION A FEW. WE WORK WITH THE CLIENT TO DEVELOP STRATEGIES RELATED TO FINANCIAL CONTROLS. THIS TYPE OF STRATEGY MAY INCLUDE BOARD/COMMITTEE FACILITATION, FINANCIAL MANAGEMENT SYSTEMS, BENEFITS REVIEW, BUSINESS OUTREACH ACTIVITIES AND INFRASTRUCTURE DEVELOPMENT. OTHER SERVICES INCLUDE HEALTH AND LIFE INSURANCE SERVICES. DEVOTES 20 HRS/WK AND 2 HRS/WK DURING TRADING HRS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-28 |
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