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Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-15 |
Branch Locations
225 S Lake Ave Penthouse, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Costa Mesa | CA | 05/2016 | 08/2020 |
| Principal Securities Inc | Costa Mesa | CA | 05/2016 | 08/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | El Segundo | CA | 11/2021 | 11/2024 |
| Unemployed | Torrance | CA | 08/2020 | 11/2021 |
| Bank Of America, N.A. | El Segundo | CA | 12/2021 | 11/2024 |
| Wedbush Securities | Pasadena | CA | 11/2024 | Present |
Uber/Lyft; Not Investment Related; Torrance, CA; Uber Eats delivery; Start: 4/2023; Approx: 1 hour weekly, none during business hours; Duties: Uber Eats with 12 year old son from time to time.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 2011-03-11 |
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