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520 Newport Center Drive Suite 740, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-12-26 |
| TX | RA | APPROVED | 2017-12-26 |
Branch Locations
520 Newport Center Drive Suite 740, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Newport Beach | CA | 08/2010 | 11/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2017 |
| Purshe Kaplan Sterling Investments | Albany | NY | 11/2017 | Present |
| Pks Advisory Services, Llc | Newport Beach | CA | 11/2017 | 12/2017 |
| Rba Wealth Management, Llc | Newport Beach | CA | 12/2017 | Present |
1. RBA Wealth Management. Investment Related. 520 Newport Center Drive, Suite 740, Newport Beach, CA 92660. Investment Advice. IAR. 11/2017. 30 Hrs/Mo; 10 During Trading Hours. 2. Fixed Insurance. Investment Related. At registered location. Fixed / Traditional Insurance. Agent. Start. 11/2017. 5 hrs/month; all during trading hours. Sales of Fixed / Traditional insurance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-04-04 |
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