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1420 5Th Ave Suite 3150, Seattle, WA 98101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-24 |
Branch Locations
2121 N. California Blvd Suite 290, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wedbush Securities Inc. | Los Angeles | CA | 06/2016 | 03/2018 |
| Ami Asset Management Corporation | Los Angeles | CA | 03/2018 | 05/2019 |
| Northwestern Mutual Investment Services, Llc | Los Angeles | CA | 06/2019 | 05/2022 |
| Michael Waxberg | Los Angeles | CA | 06/2019 | 05/2022 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 09/2019 | 05/2022 |
| Msec, Llc | Danville | CA | 05/2022 | 06/2024 |
| Mariner Wealth Advisors | Danville | CA | 05/2022 | 06/2024 |
| Empirical Wealth Management | Walnut Creek | CA | 06/2024 | Present |
LDS STUDIO; NON-INVESTMENT RELATED; DANCE STUDIO; INSTRUCTOR; START DATE 1/25/23; 20 HRS PER MONTH, 0 HRS DURING TRADING HOURS; LEAD CLASS OF STUDENTS IN MOBILITY AND FLEXIBILITY EXCERCISES.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-08-30 |
| S65 | Uniform Investment Adviser Law Examination | 2019-03-30 |
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