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4722 Main Street, Lisle, IL 60532 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-06-19 |
| CO | RA | APPROVED | 2024-06-13 |
| CA | RA | APPROVED | 2020-10-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Westpark Capital Inc | Irvine | CA | 08/2016 | 04/2020 |
| American Trust Investment Services | San Clemente | CA | 05/2020 | Present |
| Chicago Capital Management | San Clemente | CA | 10/2020 | Present |
1. First Exchange Financial LLC, Owner, Start date 03/25/2024, Investment Related, 40 hours/month, Can occur during market hours. 2. Real Estate agent, Sales agent, Start Date 03/25/2024, Investment Related, 40 hours/month, Can occur during market hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 2013-07-20 |
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