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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 | 2023-09-12 |
| CA | RA | APPROVED | 2016-10-21 |
Branch Locations
200 N Westlake Blvd Ste 202, Westlake Village, CA 91362 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westlake Village | CA | 04/2002 | 10/2016 |
| Wells Fargo Advisors Financial Network, Llc | Westlake Village | CA | 10/2016 | Present |
RPH STRATEGIES, LLC, INVT RELATED, NEWBURY PARK, CA, 100% OWNERSHIP, START DATE 3/11/2020, 10 HRS PER MONTH, 1 HR DURING TRADING, FOR FINET PRACTICE.| PROVISORS - BNI GROUP, NOT INVT RELATED, SHERMAN OAKS, CA, GROUP LEADER ASSISTANT, START DATE 12/15/2020, 3 HRS PER MONTH, 1.5 HRS DURING TRADING, ATTENDING AND RUNNING MEETINGS IF GROUP LEADER NOT ABLE TO ATTEND.| WESTLAKE PRIVATE WEALTH MANAGEMENT; INV RELATED; WESTLAKE VILLAGE, CA; 12% OWNERSHIP; START 01/15/2025; 10 HOURS PER MONTH; 10 HOURS DURING TRADING; FINET PRACTICE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1989-11-07 |
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