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Current Employers
Alliance Advisory & Securities, Llc

31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-12-18
  • CA RA
    APPROVED
    Since 2019-12-18

Branch Locations

31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Alliance Advisory & Securities, Inc. Westlake Village CA 08/2019 11/2021
Lac Group Newbury Park CA 10/2010 08/2019
Alliance Advisory & Securities, Llc Westlake Village CA 12/2021 Present
  • 08/2019 → 11/2021
    Alliance Advisory & Securities, Inc.
    Westlake Village, CA
  • 10/2010 → 08/2019
    Lac Group
    Newbury Park, CA
  • 12/2021 → Present
    Westlake Village, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-16
  • S66 Uniform Combined State Law Examination
    2019-12-16
Designations

View on SEC IAPD

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