on 28 Jan 2023
Last Applicant/ Owned by
SUITE 200
SANTA BARBARA
CA
93101
Serial Number
85536375 filed on 07th Feb 2012
Registration Number
4311685 registered on 02th Apr 2013
Filing Basis
1. use application currently
Disclaimer
NO DATA
Education services, namely, conducting programs in the field of retirement plans Financial services provided to sponsors of retirement plans, participants in retirement plans and individual investors in connection with employee stock option plans, 401k plans, profit sharing plans, executive deferred compensation plans, pension plans and defined benefit plans, namely, providing retirement plan des Read More
Financial services provided to sponsors of retirement plans, participants in retirement plans and individual investors in connection with employee stock option plans, 401k plans, profit sharing plans, executive deferred compensation plans, pension plans and defined benefit plans, namely, providing retirement plan design, assistance with the development of retirement plan investment policies, retirement plan management, retirement plan investment due diligence, investment fee analysis and retirement plan investment performance monitoring; wealth management and financial planning services for individual investors; retirement plan fiduciary services, namely, fiduciary representative services in the field of retirement planning
01st Mar 2008
01st Mar 2008
Education services, namely, conducting programs in the field of retirement plans
01st Mar 2008
01st Mar 2008
Regulatory compliance consulting in the field of retirement plan administration; fiduciary compliance consulting, namely, consulting in the field of federal securities regulations governing investment advisory activities related to retirement plans
01st Mar 2008
01st Mar 2008
No 85536375
No Service Mark
No S-PFGX
No
No
No
No
No
No
No
No
Status Date | Action Taken |
---|---|
28th Jan 2023 | NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED |
28th Jan 2023 | REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) |
28th Jan 2023 | REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED |
28th Jan 2023 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
13th Jul 2022 | TEAS SECTION 8 & 9 RECEIVED |
02th Apr 2022 | COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED |
24th May 2018 | NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED |
24th May 2018 | REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. |
23rd May 2018 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
10th May 2018 | TEAS SECTION 8 & 15 RECEIVED |