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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-23 |
| CA | RA | APPROVED | 2026-03-20 |
Branch Locations
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • 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 |
|---|---|---|---|---|
| Bbva Securities Inc. | Walnut Creek | CA | 11/2017 | 03/2021 |
| Compass Bank | Birmingham | AL | 09/2017 | 03/2021 |
| Prudential Financial | San Francisco | CA | 04/2015 | 09/2017 |
| Bbva Wealth Solutions, Inc. | Walnut Creek | CA | 12/2017 | 03/2021 |
| Bbva Compass Insurance Agency Inc. | Austin | TX | 03/2018 | 03/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Walnut Creek | CA | 03/2021 | 03/2026 |
| Bank Of America, N.A. | Walnut Creek | CA | 04/2021 | 03/2026 |
| Morgan Stanley Smith Barney Llc | Walnut Creek | CA | 03/2026 | Present |
(1) 686845 - Epilepsy Foundation of Northern California / Not Investment Related / San Francisco, CA / Medical, Health and Welfare / Board Member, Finance Committee / Start 01-June-2024 / During business hours: 0 / After business hours: 10 / Fundraising, Administrative, Business Development and Growth.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-21 |
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