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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 | 2024-01-11 |
| OH | RA | APPROVED | 2020-12-10 |
| CA | RA | APPROVED | 2020-12-08 |
| LA | RA | APPROVED | 2020-12-08 |
| NC | RA | APPROVED | 2020-12-08 |
Branch Locations
1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank Na | Los Angeles | CA | 08/2012 | 12/2020 |
| J.P. Morgan Securities Llc | Los Angeles | CA | 08/2012 | 12/2020 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 12/2020 | Present |
ASSOCIATION FOR CORPORATE GROWTH, NOT INV RELATED, LOS ANGELES, CA, WOMEN'S COMMITTEE CHAIR, START 1/1/2024, 6 HRS PER MONTH, 1 HR DURING TRADING, BUSINESS NETWORKING EVENT PLANNING. ASSOCIATION FOR CORPORATE GROWTH, NOT INVT RELATED, LOS ANGELES, CA, BOARD MEMBER, START DATE 1/1/2024, 6 HRS PER MONTH, 1 HR DURING TRADING, BUSINESS NETWORKING EVENT PLANNING. DYNAMIC AG; NOT INVESTMENT RELATED; LIVE OAK,CA; 5% OWNERSHIP WITH SPOUSE; START DATE 09/08/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; FARMING. CO-TRUSTEE FOR FATHER'S TRUST, INV RELATED, MORGAN HILL, CA, START: 3/1/2023, 2 HOURS A MONTH, 0 HOURS DURING TRADING. POWER OF ATTORNEY FOR BROTHER, INV RELATED, SANTA CLARA, CA, START: 1/16/2024, 3 HOURS PER MONTH, 0 HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-27 |
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