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Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2025-05-29 |
| CA | RA | APPROVED | 2024-01-17 |
Branch Locations
225 S Lake Ave Penthouse, Pasadena, CA 91101 • United States
201 Merchant Street Ste 2200, Honolulu, HI 96813 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unionbanc Investment Services | Los Angeles | CA | 03/2011 | 12/2022 |
| Wedbush Securities | Los Angeles | CA | 01/2024 | Present |
| Us Bancorp Investments | Los Angeles | CA | 12/2022 | 01/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-22 |
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