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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-09-09 |
| CA | RA | APPROVED | 2018-04-09 |
Branch Locations
10877 Wilshire Blvd Ste 1700, Los Angeles, CA 90024 • United States
Santa Monica, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Palo Alto | CA | 12/2008 | 04/2018 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 04/2018 | Present |
FILM INDEPENDENT; INVESTMENT RELATED; LOS ANGELES,CA; FINANCE COMMITTEE MEMBER; START DATE 08/10/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 2; ATTENDING MEETINGS TO DISCUSS FINANCIAL AND PLANNING ISSUES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 2004-01-08 |
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