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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-05-31 |
Branch Locations
9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States
Los Angeles, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Beverly Hills | CA | 08/2016 | 08/2020 |
| Rbc Capital Markets, Llc | Beverly Hills | CA | 08/2020 | Present |
1) Name of Entity: WAG! Non-Investment related Nature of Entity: Dog walking and Dog Sitting Position/Title/Relationship: Independent Contractor/Consultant Start Date: 03/01/22 Time Devoted: During the week about 5 hours (1 hour a day after work); 0 during securities trading hours Duties: Walk Dogs and Babysit Dogs 2) NAME OF ENTITY: Youtube Channel- Not named yet ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Youtube creative channel CAPACITY: Sole Proprietor START DATE: 08/18/23 DUTIES: Post creative videos on youtube about restaurants. Also do unboxing videos of things I have bought. HOURS DEVOTED PER MONTH: 8 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 2021-10-25 |
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