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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-10-04 |
| TX | RA | APPROVED | 2021-10-01 |
Branch Locations
9665 Wilshire Boulevard Suite 600, Beverly Hills, CA 90212 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Pasadena | CA | 07/2018 | 04/2021 |
| Panda Express | Santa Cruz | CA | 08/2017 | 04/2018 |
| Sun Shop | Santa Cruz | CA | 04/2017 | 08/2017 |
| University Of California, Santa Cruz | Santa Cruz | CA | 09/2014 | 06/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 04/2021 | 10/2021 |
| Morgan Stanley Smith Barney Llc | Beverly Hills | CA | 10/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-17 |
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