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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-03-12 |
| CA | RA | APPROVED | 2020-08-13 |
Branch Locations
3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beverly Hills | CA | 01/2011 | 08/2020 |
| Bank Of America, N.A. | Beverly Hills | CA | 07/2011 | 08/2020 |
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 08/2020 | Present |
SCREEN ACTORS GUILD, NOT INV RELATED, LOS ANGELES, CA, ACTOR, START 9/4/2020, 10 HOURS PER MONTH, ZERO DUIRNG TRADING, PERFORMANCES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-22 |
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