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Current Employers
Fifth Third Securities, Inc.

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-07-08
  • CA RA
    APPROVED
    Since 2026-07-08

Branch Locations

Brea, CA • United States

2029 Century Park East Suite 800, Los Angeles, CA 90067 • United States

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-02-28
CA RA APPROVED 2023-11-03
  • TX RA
    APPROVED_RES
    Since 2025-02-28
  • CA RA
    APPROVED
    Since 2023-11-03

Branch Locations

2029 Cenury Park E Ste 800, Los Angeles, CA 90067 • United States

Brea, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
U.B.S. Century City CA 04/2015 09/2016
Comerica Securities, Inc Los Angeles CA 09/2016 11/2023
Ameriprise Financial Services, Llc Los Angeles CA 11/2023 Present
Fifth Third Securities Los Angeles CA 07/2026 Present
  • 04/2015 → 09/2016
    U.B.S.
    Century City, CA
  • 09/2016 → 11/2023
    Comerica Securities, Inc
    Los Angeles, CA
  • 11/2023 → Present
    Los Angeles, CA
  • 07/2026 → Present
    Fifth Third Securities
    Los Angeles, CA
Previous Registrations
  • 2016-09-13 → 2023-11-03
    Comerica Securities
    Los Angeles, CA
    Costa Mesa, CA
  • 2016-04-18 → 2016-09-15
    Los Angeles, CA
Other Businesses

Business Ownership; Student 1st Driving School; Co-owner; driving school; 1214 Santa Anita Ave. Ste B2, , South El Monte, CA, 91733; Not Investment-Related; 09/01/2019; 10 to 19 hours per month; 0 during trading hours. Outside Employment; Comerica; Registered Client Service Associate; Brokerage Firm; 611 Anton Blvd. Ste 200, , Costa Mesa, CA, 92626; Investment-Related; 11/06/2023; 60 hours per month; 60 during trading hours. Other Business Activities; Maestro; Cash management system for clients; 611 Anton Blvd. Suite 200, , Costa Mesa, CA, 92626; Investment-Related; 11/06/2023; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-18
  • S66 Uniform Combined State Law Examination
    2016-04-18

View on SEC IAPD

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