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Los Angeles, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-12-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Imperial Capital, Llc | New York | NY | 04/2009 | 03/2020 |
| Imperial Capital Asset Management | New York | NY | 04/2009 | 03/2020 |
| Roth Capital Partners, Llc | Newport Beach | CA | 09/2020 | 09/2021 |
| Unemployed | Sonoma | CA | 03/2020 | 09/2020 |
| Odeon Capital Group | New York | NY | 09/2021 | 05/2024 |
| Penmar Advisors, Llc | Los Angeles | CA | 11/2025 | Present |
| Unemployed | Los Angeles | CA | 05/2024 | 11/2025 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-05-14 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-02 |
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