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65 Memorial Drive Suite C340, West Hartford, CT 06107 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-07-08 |
| CT | RA | APPROVED | 2022-07-05 |
| WA | RA | APPROVED | 2022-07-05 |
Branch Locations
934 Broadway Suite Lle, Tacoma, WA 98042 • United States
65 Memorial Drive Suite C340, West Hartford, CT 06107 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oaktree Capital Management | Los Angeles | CA | 06/2003 | 03/2017 |
| Ocm Investments, Llc | Los Angeles | CA | 04/2004 | 03/2017 |
| Cetera Advisor Networks | Agoura Hills | CA | 04/2017 | 08/2019 |
| N.R. Smith And Associates | Olympia | WA | 01/2018 | 07/2022 |
| Apella Capital, Llc | Tacoma | WA | 07/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2013-07-19 |
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