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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-04-05 |
Branch Locations
401 W 4Th Street Suite 3100, Austin, TX 78701 • United States
1200 Prospect Street Suite 100, La Jolla, CA 92037 • United States
Austin, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Temcula | CA | 03/2014 | 01/2018 |
| Bank Of America, N.A. | Temecula | CA | 03/2014 | 01/2018 |
| Morgan Stanley | Carlsbad | CA | 12/2017 | 06/2018 |
| Bank Of America Merchant Services | San Marcos | CA | 07/2018 | 11/2018 |
| Jpmorgan Chase Bank, N.A. | Encinitas | CA | 11/2018 | 05/2019 |
| J.P. Morgan Securities Llc | Encinitas | CA | 11/2018 | 05/2019 |
| Wells Fargo Clearing Services, Llc | San Diego | CA | 05/2019 | 08/2021 |
| Gwfs Equities, Inc | Greenwood Village | CO | 08/2021 | 10/2021 |
| Ameriprise Financial Services, Llc | San Diego | CA | 10/2021 | 04/2022 |
| Ubs Financial Services Inc. | San Diego | CA | 04/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-15 |
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