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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PR | RA | APPROVED | 2025-12-01 |
| TX | RA | APPROVED_RES | 2025-11-17 |
| CA | RA | APPROVED | 2018-03-13 |
Branch Locations
11845 W Olympic Blvd Ste 980W, Los Angeles, CA 90064-5172 • United States
Los Angeles, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Los Angeles | CA | 01/2015 | 08/2017 |
| First Republic Securities Company, Llc | Los Angeles | CA | 08/2017 | 01/2018 |
| First Republic Investment Management, Inc. | Los Angeles | CA | 08/2017 | 01/2018 |
| Ameriprise Financial Services, Inc | Los Angeles | CA | 02/2018 | 03/2020 |
| Ameriprise Financial Services, Llc | Los Angeles | CA | 03/2020 | Present |
Other Business Activities; Private Equity Financing; Activity is limited to provide financing (investing) to a direct lender offering financing to real estate developers. I receive interest income on this investment.; 24151 Ventura Blvd., Suite 350, , Calabasas, CA, 91302; Investment-Related; 09/30/2022; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-04-05 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-10 |
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