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1200 17Th Street Suite 2000, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-08 |
Branch Locations
620 Newport Center Drive Suite 1030, Newport Beach, CA 92660 • United States
1200 17Th Street Suite 2000, Denver, CO 80202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc | Laguna Niguel | CA | 12/2015 | 06/2018 |
| Us Bank | Irvine | CA | 03/2013 | 06/2018 |
| E*Trade Securities Llc | Santa Ana | CA | 06/2018 | 05/2024 |
| E*Trade Capital Management Llc | Irvine | CA | 06/2018 | 05/2024 |
| Morgan Stanley | Irvine | CA | 01/2023 | 05/2024 |
| Morgan Stanley | Irvine | CA | 09/2023 | 05/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Irvine | CA | 05/2024 | 07/2024 |
| Mercer Global Advisors Inc. | Newport Beach | CA | 07/2024 | Present |
1. Rental Property; Investment-related; 248 E Briardale Avenue, #4, Orange, CA 92865; Rental property; Owner; 02/15/2021; 2 hrs. per month; 0 hrs. during trading hours; Owner of rental property.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-16 |
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