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Current Employers
Positive Delta Asset Management Llc

520 S. Grand Ave. Suite 1070, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2011-06-15
  • CA RA
    APPROVED
    Since 2011-06-15

Branch Locations

3600 Wilshire Blvd Suite 1214, Los Angeles, CA 90010 • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Positive Delta Asset Management Los Angeles CA 06/2011 Present
  • 06/2011 → Present
    Positive Delta Asset Management
    Los Angeles, CA
Previous Registrations
  • 2009-09-22 → 2011-06-13
    Los Angeles, CA
    San Diego, CA
    Los Angeles, CA
  • 2006-01-20 → 2009-10-02
    Los Angeles, CA
  • 2002-05-14 → 2006-01-23
    Morgan Stanley Dw Inc.
    Los Angeles, CA
  • 2000-07-13 → 2002-05-10
    Prudential Equity Group, Llc
    Pasadena, CA
Other Businesses

1. 10/21/09 - REAL ESTATE BROKER, I HAVE A CA REAL ESTATE BROKER LICENSE BUT I DO NOT DO IT RIGHT NOW. 2% OF TIME. 2. 05/24/10 - DBA ONLY, HJ WEALTH MANAGEMENT GROUP, CA. 3. 05/27/10 - OTHER-REAL ESTATES BROKER, SK REALTY ADVISORS, INC., 20% CA.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-01
S63 Uniform Securities Agent State Law Examination 2000-04-17
  • S65 Uniform Investment Adviser Law Examination
    2000-05-01
  • S63 Uniform Securities Agent State Law Examination
    2000-04-17

View on SEC IAPD

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