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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-09 |
| CA | RA | APPROVED | 2017-10-04 |
Branch Locations
165 North Redwood Drive #100, San Rafael, CA 94903 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | San Francisco | CA | 08/2016 | 09/2017 |
| Tiaa-Cref Individual & Institutional Services, Llc | San Francisco | CA | 08/2016 | 09/2017 |
| Axa-Advisors, Llc | New York | NY | 09/2017 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 09/2017 | Present |
1. Provisors, 15165 Ventura Blvd Suite 425 Sherman Oaks, CA 91403. Executive Committee Member, not investment-related, I help organize a professional networking group. Start date 05-26-2020. 2. Trustee of personal trust. 3. San Rafael Chamber of Commerce Member; 817 Mission Ave San Rafael, CA 94901, Start Date 07/15/2026 ; 4. VARIOUS OUTSIDE INSURANCE AGENCIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2009-10-15 |
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