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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-04-08 |
| TX | RA | APPROVED | 2022-04-08 |
Branch Locations
Mammoth Lakes, CA • United States
400 W Ventura Blvd Ste 105, Camarillo, CA 93010 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Camarillo | CA | 10/2009 | 04/2022 |
| Bank Of America, Na | Oxnard | CA | 10/2009 | 04/2022 |
| Wells Fargo Advisors Financial Network, Llc | Camarillo | CA | 04/2022 | Present |
RIDGELINE PRIVATE WEALTH MANAGEMENT, LLC, INVT RELATED, CAMARILLO, CA, 85% OWNERSHIP, START DATE 4/8/2022, 160 HRS PER MONTH AND DURING TRADING, OPERATING EXPENSES FOR FINET PRACTICE. ROBERTS CAPITAL CORP, INVT RELATED, CAMARILLO, CA, 100% OWNERSHIP, START DATE 4/8/2022, 160 HRS PER MONTH AND DURING TRADING, 1099 INCOME FOR FINET PRACTICE. RENTAL PROPERTY, INVT RELATED, MAMMOTH LAKES, CA, 100% OWNERSHIP, START DATE 3/15/2018, 5 HRS PER MONTH, 0 HRS DURING TRADING, RENTAL INCOME.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-21 |
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