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388 Greenwich Street, New York, NY 10013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-12-12 |
Branch Locations
Cwm Retail, Sales 32291 Camino Capistrano, San Juan , CA 92675 • United States
Cwm Retail, Sales 570 Camino De Estrella, San Clemente, CA 92672 • United States
Citi Wealth Management, Sales 17400 Brookhurst St. Suite 200, Fountain Valley, CA 92708 • United States
Newport Beach, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Newport Beach | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 09/2019 |
| Miramontes Capital, Llc | Newport Beach | CA | 09/2019 | 11/2023 |
| Purshe Kaplan Sterling Investments | Albany | NY | 04/2021 | 11/2021 |
| Saxony Securities Inc. | St. Louis | MO | 11/2021 | 05/2023 |
| Balanced Security Planning, Inc. | Newport Beach | CA | 05/2023 | 11/2023 |
| Citigroup | Lake Forest | CA | 12/2023 | Present |
Sailing Coach; Not Investment-related; Nature: I give private sailing lessons to kids on individual or small group basis to prepare them for competitions. I also will coach individuals or small groups at competitions.; Newport Beach, CA; Started: 01/01/2024; Title: Sailing Coach; Duties: On the water and in classroom instruction to help kids improve their sailing results in competitions.; No time is devoted each month during securities trading hours; 11-20 hours are devoted each month outside of securities trading hours. /////
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1999-01-25 |
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