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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-04-23 |
| CA | RA | APPROVED | 2019-09-16 |
Branch Locations
1999 Avenue Of The Stars Suite 2400, Los Angeles, CA 90067 • United States
1250 Prospect Street Suite 202, La Jolla, CA 92037 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | La Jolla | CA | 10/1995 | 09/2019 |
| Bank Of America, N.A. | La Jolla | CA | 07/2015 | 09/2019 |
| Morgan Stanley Smith Barney Llc | La Jolla | CA | 09/2019 | Present |
*381920 - The Normal Bar; Investment related - No; Book writing; Sole Proprietor / Owner / Partner (proprietor, partner, officer, director, employee, trustee, agent); Sep 2012; During business hours: 0; After business hours: 5, Author. *387393 - Docler Media LLC; Investment related; Culver City, CA; Consulting; Contractor (proprietor, partner, officer, director, employee, trustee, agent); Jan 2020; During business hours: 0; After business hours: 2; Relationship Advice Contractor/consultant. . *424682 - Raw Love; Investment related No; La Jolla, CA; Health, Fitness, and Relationships; Designer and Author (proprietor, partner, officer, director, employee, trustee, agent); Feb 2021; During business hours: 0; After business hours: 10; writing a book and designing fitness wear. *583523 - Beatport; Investment Related - No; Denver, California; Art/Culture; Producer (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); 02/2024; During Business Hours: 0; After Business Hours: 20; making music for as a hobby
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-28 |
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