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2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-05-16 |
Branch Locations
2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Capital Financial Advisers, Llc | Newport Beach | CA | 03/2011 | 10/2017 |
| Sii | Los Angeles | CA | 10/2017 | 11/2018 |
| Seia Llc | Los Angeles | CA | 10/2017 | Present |
| Royal Alliance Associates, Inc. | Los Angeles | CA | 11/2018 | 09/2022 |
| Ses Inc. | Los Angeles | CA | 09/2022 | Present |
1. VANGUARD UNIVERSITY POSITION: Volunteer member of Foundation Investment Committee NATURE: Volunteer member of Foundation Investment Committee INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2017 ADDRESS: 55 Fair Dr, Costa Mesa CA 92626, United States DESCRIPTION: - attend quarterly investment review calls - vote on investment decisions 2. SEIA LLC POSITION: Executive Vice President of Investment Strategy, NATURE: Independent Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/23/2017 ADDRESS: 2121 Ave. of the Stars, Suite 1600, Los Angeles, CA 90067 DESCRIPTION: Manage Research Department
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-10-07 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-29 |
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