CRD# 1622075
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 4876819
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 5480138
Safeguard Investment Advisory Group, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany, NY | Sep 2009 - Current | 14 |
| Capital Investment Management, Llc, Dba The Sullivan Group | Menifee, CA | Sep 2009 - Current | 14 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 1993 |
| S65 | NASAA Investment Advisors Law Examination | Nov 1993 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
- TX
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Total Assets Under Management71MILLIONS
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Total Number of Accounts293ACCOUNTS
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Average Account Value$243,323
- A percentage of assets under your management
- Commissions
- Portfolio management for individuals and/or small businesses
CA, TX
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