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4275 Executive Square, 5Th Floor, La Jolla, CA 92037 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2012-12-03 |
Branch Locations
4275 Executive Sq., 5Th Floor, La Jolla, CA 92037 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Brandes Investment Partners | La Jolla | CA | 09/2011 | Present |
| Alps Distributors, Inc. | Denver | CA | 09/2015 | 07/2024 |
| Foreside Fund Services, Llc | La Jolla | CA | 07/2024 | Present |
1. BRANDES INVESTMENT PARTNERS; Investment Related; RIA; La Jolla, CA; Start: 09/2011; SR Compliance Analyst; Marketing review, registration, other typical compliance duties; 160 Hours Per Month and 0 During Trading Hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-19 |
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