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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-14 |
| CA | RA | APPROVED | 2017-12-18 |
Branch Locations
1318 East Shaw Avenue Suite 200, Fresno, CA 93710 • 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 |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Fresno | CA | 03/2008 | 12/2017 |
| Independent Financial Group | Fresno | CA | 12/2017 | Present |
(1) CAPITAL FINANCIAL & INSURANCE SERVICES INC POSITION: Independent Contractor NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2017 ADDRESS: 1318 East Shaw Avenue, Suite 200, Fresno CA 93710, United States DESCRIPTION: Registered Representative at DBA used for marketing purposes (2)CO TRUSTEE POSITION: Agent/Representative NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2011 ADDRESS: 1318 East Shaw Avenue, Suite 200, Fresno CA 93710, United States DESCRIPTION: Acting as co-trustee for mother's trust account
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 1987-02-06 |
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