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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-15 |
| CA | RA | APPROVED | 2025-07-22 |
Branch Locations
3020 Old Ranch Pkwy Stes 190, 150 & 140, Seal Beach, CA 90740 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Orange | CA | 07/2008 | 09/2021 |
| Morgan Stanley | Long Beach | CA | 04/2022 | 09/2022 |
| Unemployed | Stanton | CA | 09/2021 | 04/2022 |
| Commonwealth Financial Network | Waltham | MA | 09/2023 | 11/2023 |
| Unemployed | Stanton | CA | 09/2022 | 09/2023 |
| Unemployed | Stanton | CA | 11/2023 | 12/2023 |
| Private Client Services | Seal Beach | CA | 12/2023 | 07/2025 |
| Wells Fargo Clearing Services, Llc | Seal Beach | CA | 07/2025 | Present |
1) Beth Bandit Books LLC. 7108 Katella Avenue, #477, Stanton, CA 90680. Publishing company publishing books not related to financial services industry. Also provides part-time virtual administrative services to Marah Fineberg-Kuck DBA Fineberg Financial Management on a 1099 basis. I am the sole member of the LLC. 80 hrs/mo; 80 during trading hrs.| BETH BANDIT BOOKS LLC; INV RELATED; STANTON,CA; SELF PUBLISH AND SELL BOOKS ;100% OWNERSHIP; START DATE: 01/03/2022; 16 HRS PER MONTH; 0 HRS DURING TRADING;| RENT TO KILL, A HARBOR OF RESENTMENT, THE CRYING PLACE AND THE GLASS-STAINED PATH - AUTHOR; NOT INV RELATED; STANTON,CA; BOOKS;-AUTHOR; START DATE: 01/03/2022; 16 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-07 |
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