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Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2025-05-29 |
| CA | RA | APPROVED | 2024-10-16 |
Branch Locations
500 Newport Center Dr Ste 850, Newport Beach, CA 92660 • United States
225 S Lake Ave Penthouse, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Union Bank | Montebello | CA | 07/2010 | 05/2023 |
| Unionbanc Investment Services | Montebello | CA | 06/2013 | 05/2023 |
| U.S. Bancorp Investments, Inc. | Los Angeles | CA | 05/2023 | 01/2024 |
| U.S. Bank | Los Angeles | CA | 05/2023 | 01/2024 |
| Wedbush Securities | Los Angeles | CA | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 2013-10-21 |
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