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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-23 |
Branch Locations
3075 Townsgate Road Suite 300, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | Simi Valley | CA | 10/2011 | 02/2022 |
| J.P. Morgan Securities, Llc. | Simi Valley | CA | 08/2019 | 02/2022 |
| Morgan Stanley | Westlake Village | CA | 02/2022 | 08/2023 |
| Stifel, Nicolaus & Company, Incorporated | Westlake Village | CA | 08/2023 | Present |
1. Dayana Merchan Vega; 1256 Patricia Ave Unit 9 simi valley CA 93065; rental property; Property Owner, rental; Property manager; 11/01/2023; 1.00hr/month; Not during securities trading hours; Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 2019-11-27 |
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