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515 South Flower Street, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-03 |
Branch Locations
515 South Flower Street, Los Angeles, CA 90071 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wedbush Securities Inc. | Los Angeles | CA | 06/2015 | 09/2017 |
| Guggenheim Funds Distributors, Llc | Santa Monica | CA | 10/2017 | 07/2021 |
| Guggenheim Credit Services | Santa Monica | CA | 10/2017 | 07/2021 |
| Guggenheim Partners Investment Management, Llc | Santa Monica | CA | 10/2017 | 07/2021 |
| Legal & General Investment Management Amercia | Chicago | IL | 11/2021 | 01/2022 |
| Tcw Llc | Los Angeles | CA | 01/2022 | 01/2024 |
| Unemployed | Anaheim | CA | 08/2021 | 11/2021 |
| Tcw Funds Distributor | Los Angeles | CA | 01/2022 | Present |
| Tcw Llc | Los Angeles | CA | 01/2024 | Present |
Name of Business: GTO Capital and Consulting Investment Related: No Address: 2235 E South St Anaheim, CA 92806 Nature of Business: Consulting Position/Title: Owner Relationship with other business: None Approximate number of hours/month you devote to the other business: 20 Number of hours you devote to the other business during securities trading hour: 0 Duties: Management consulting, strategic advisory, business development.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-26 |
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