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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-20 |
| TX | RA | APPROVED | 2024-06-20 |
Branch Locations
3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bankers Life And Casualty | Northridge | CA | 05/2016 | 12/2020 |
| Bankers Life Securities | Northridge | CA | 08/2018 | 12/2020 |
| Bankers Life Advisory Services, Inc | Northridge | CA | 09/2019 | 12/2020 |
| Ameriprise Financial Services Llc | Woodland Hills | CA | 12/2020 | 06/2024 |
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 06/2024 | Present |
BLUE SHIELD OF CALIFORNIA, NOT INV RELATED, LOS ANGELES, CA, HEATH INSURANCE TRAILS, START: 6/25/2024, 1 HOUR A MONTH, 0 HOURS DURING TRADING.; RIVERSOURCE LIFE INSURANCE COMPANY, INV RELATED, MINNEAPOLIS, MN, TRAIL COMMISSIONS, START: 6/26/2024, 1 HOUR A MONTH, 0 HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2019-01-15 |
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