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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 | 2023-08-21 |
Branch Locations
6460 E Pacific Coast Hwy Ste 223, Long Beach, CA 90803 • United States
595 Humboldt St Ste 200, Reno, NV 89509 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | Long Beach | CA | 11/2019 | Present |
| J.P. Morgan Securities Llc | Long Beach | CA | 11/2019 | Present |
| Glory Days Sports Grille | Los Angeles | CA | 09/2018 | 10/2019 |
| Wells Fargo Advisors (Vanhorn Financial Group) | Seal Beach | CA | 03/2019 | 09/2019 |
| New York Life Insurance Co | Glendale | CA | 01/2019 | 03/2019 |
| Disneyland Resort | Anaheim | CA | 09/2015 | 08/2018 |
| University Of California | Irvine | CA | 09/2013 | 03/2019 |
| Rutz's Resale | Long Beach | CA | 04/2022 | Present |
| Wells Fargo Advisors Financial Network, Llc | Long Beach | CA | 09/2022 | Present |
Entity Name: Rutz's Resale Investment related: No Address: 4515 Graywood Ave Long Beach CA 90808 Nature of the other business: Vending Machines Position/Title/Relationship: Owner/Partner Start Date: 04/28/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: A sole proprietorship. A vending machine business that sells sodas, chips, and other snacks. Responsibilities include serving machines.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2020-01-24 |
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