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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-01-26 |
Branch Locations
251 S. Lake Ave. Suite 150, Pasadena, CA 91101 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Claremont | CA | 11/2015 | 10/2016 |
| Morgan Stanley Private Bank, National Association | New York | NY | 12/2015 | 10/2016 |
| Scottrade, Inc. | San Gabriel | CA | 11/2016 | 09/2018 |
| Td Ameritrade, Inc. | San Gabriel | CA | 02/2018 | 12/2022 |
| Td Ameritrade Investment Management, Llc | Omaha | NE | 02/2018 | 12/2022 |
| Charles Schwab & Co., Inc. | Pasadena | CA | 12/2022 | Present |
| Charles Schwab Bank, Ssb | Pasadena | CA | 11/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-05-15 |
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