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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 | 2019-08-13 |
Branch Locations
333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • United States
Old Lyme, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pgim | Newark | NJ | 09/2008 | 07/2019 |
| American Funds | Los Angeles | CA | 08/2019 | 01/2021 |
| American Funds | Los Angeles | CA | 01/2021 | Present |
Name of the other business: 138 BPR LLC / Is the business Investment Related: No / The address of the other business: East Lyme, CT 06333 / The nature of the other business: The land will eventually have rental properties on it where we will receive passive income / Your position/title: co-owner with husband / Start date: 3/31/2021 / The number of hours/month you devote to the other business: 0 / The number of hours during securities trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-23 |
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