Best Investors
Account
Sign in
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-05-22 |
Branch Locations
4275 Executive Square, La Jolla, CA 92037 • United States
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
18111 Von Karman Avenue, Irvine, CA 92612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City National Rochdale | Irvine | CA | 01/2020 | Present |
| Barclays | New York | NY | 09/2018 | 01/2020 |
| Barclays | New York | NY | 07/2016 | 09/2018 |
| Claremont Graduate University | Claremont | CA | 09/2015 | 05/2016 |
| Claremont Graduate University | Claremont | CA | 09/2014 | 05/2016 |
| Unemployed | Upland | CA | 05/2016 | 07/2016 |
(1) NAME OF BUSINESS-New Frequency; INVESTMENT RELATED-No ; BUSINESS ADDRESS-N/A-Residual royalties; NATURE OF BUSINESS-I receive music publishing royalties from ASCAP; POSITION-Composer/producer; START DATE-01/01/2001; HOURS PER MONTH-0; HOURS DURING TRADING-0; DUTIES-There are no duties. Passively receive residual royalties. (2) the name of the other business: whether the business is investment-related: non investment-related the address of the other business: 6521 Fischer Way, San Diego, CA 92130 the nature of the other business: Selling records (music) by myself your position; title, or relationship with the other business: Owner the start date of your relationship: 11/18/2025 the approximate number of hours/month you devote to the other business: less than 1 hr the number of hours you devote to the other business during securities trading hours: less than 1 hr and briefly describe your duties relating to the other business: Selling records (music) by myself
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-22 |
Reach out to this advisor