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3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-12-05 |
Branch Locations
3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Grand Canyon University | Phoenix | AZ | 05/2017 | 03/2019 |
| Shelley'S Stereo | Woodland Hills | CA | 02/2018 | 10/2019 |
| World Financial Group | Woodland Hills | CA | 08/2017 | 11/2017 |
| Pottery Barn | Thousand Oaks | CA | 03/2015 | 02/2018 |
| Winters Financial Group | Thousand Oaks | CA | 10/2019 | 05/2022 |
| Axa Advisors | Los Angeles | CA | 11/2018 | 09/2019 |
| Sierra Investment Management, Llc | Santa Monica | CA | 05/2022 | Present |
| Ocean Park Asset Management, Llc | Santa Monica | CA | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2019-07-26 |
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