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3200 N. Central Ave Suite #200, Phoenix, AZ 85012 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-04-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Corte Madera | CA | 06/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Corte Madera | CA | 11/2016 | 03/2018 |
| Securities America, Inc. | Alameda | CA | 04/2018 | 06/2024 |
| Pfg Advisors | Alameda | CA | 04/2018 | Present |
| Osaic Wealth, Inc. | Alameda | CA | 06/2024 | Present |
Name: Insurance Sales Position: Agent - Nature: I sell insurance products to my clients, including whole life insurance, term life insurance. I also sell fixed annuities, equity indexed annuities and long term care insurance to my clients - Investment Related: Yes - Hours: 10 - Securities Trading Hours: 10 Start Date: 03/26/2018 - Address: 1545 Verdi Street, Suite A Alameda CA 94501, United States Name: PFG Advisors Position: Financial Advisor - Nature: I offer investment advisory programs to my existing and prospective clients - Investment Related: Yes - Hours: 80 Securities Trading Hours: 80 - Start Date: 04/04/2018 - Address: 16150 N Arrowhead Fountains Center Drive, Suite 289, Peoria AZ 85382, United States DBA: Mansell Capital Management; Keypoint Financial Services
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-28 |
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