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333 South Hope Street 55Th Floor, Los Angeles, CA 90071-1406 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2013-08-26 |
Branch Locations
333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • United States
Castle Pines, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Funds | Los Angeles | CA | 12/2015 | 01/2021 |
| American Funds | Los Angeles | CA | 01/2021 | Present |
| Socially Spent | Castle Pines | CO | 11/2023 | Present |
SOCIALLY SPENT POSITION: Drummer NATURE: I am a drummer in a cover band. The name of the group has changed from "Lukes Bad Neighbor" to "Socially Spent" this year. We play small venues and parties infrequently, about 4 or 5 times a year. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/31/2023 ADDRESS: Castle Pines CO 80108, United States DESCRIPTION: Drummer and occasional backing vocals.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-10 |
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