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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-03-04 |
| CA | RA | APPROVED | 2009-06-01 |
Branch Locations
28202 Cabot Road Suite 500, Laguna Niguel, CA 92677 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Newport Beach | CA | 04/1991 | Present |
| Morgan Stanley Smith Barney | Laguna Niguel | CA | 06/2009 | Present |
*587216- Self; Investment Related: Yes; Newport Coast, California; Retail/Online Stores; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 03/2024; During Business Hours: 0; After Business Hours: 40; Sales/Marketing, eCommerce/print on demand retail clothing/merchandise via drop shipping platform. Anticipate utilizing Shopify, etsy and/or Amazon KDP.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-03-13 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-18 |
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