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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-10-04 |
| TX | RA | APPROVED | 2024-10-04 |
Branch Locations
3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • United States
970 S Westlake Blvd, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Westlake Village | CA | 07/2016 | 09/2017 |
| J.P. Morgan Securities Llc | Woodland Hills | CA | 11/2017 | 10/2024 |
| Unemployed | Westlake Village | CA | 09/2017 | 11/2017 |
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 10/2024 | Present |
SAMUEL RAMLI, NOT INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP, START DATE 4/1/2023, 1 HR PER MONTH, 0 HRS DURING TRADING, PRODUCT REVIEWER BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-21 |
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