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225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-12-18 |
Branch Locations
225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-10-30 |
Branch Locations
225 S Lake Ave Penthouse, Pasadena, CA 91101 • United States
110 Front Street, Suite 311, Jupiter, FL 33477 • United States
500 Newport Center Dr Ste 850, Newport Beach, CA 92660 • United States
142 West 57Th Street 12Th Fl, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Minneapolis | MN | 03/2016 | 07/2022 |
| Wedbush Securities | Pasadena | CA | 07/2022 | Present |
| Wedbush & Co. | New York | NY | 02/2024 | Present |
| Onward Advisors | Los Angeles | CA | 08/2023 | Present |
| Qapital Llc | Los Angeles | CA | 01/2024 | Present |
(1) ONWARD ADVISORS; INVESTMENT-RELATED; LOS ANGELES, CA; LLC; INVESTMENT ADVISOR - RIA; SUPERVISION MANAGER; START: 08/2023; APPROX: 12 HOURS MONTHLY, 10-12 DURING BUSINESS HOURS; DUTIES: ADMINISTER AND PERFORM SUPERVISION FUNCTION FOR THE FIRM -- (2) QAPITAL LLC; INVESTMENT RELATED; LOS ANGELES, CA; LLC; HEAD OF SUPERVISION; START: 1/2024; APPROX: 10 HOURS WEEKLY, NONE DURING BUSINESS HOURS; DUTIES: SUPERVISE ACTIVITIES AT QAPITAL FOR REGULATORY COMPLIANCE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 2011-06-11 |
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