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1290 Avenue Of The Americas, New York, NY 10104 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-13 |
Branch Locations
655 Montgomery Street Suite 1710, San Francisco, CA 94111 • United States
Kensington, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mosher Financial Advisors | Lafayette | CA | 02/2025 | 07/2026 |
| American Investors Company | San Ramon | CA | 08/2025 | 07/2026 |
| 1Bay Landscape Art And Design | Oakland | CA | 06/2023 | 01/2025 |
| Invictus Academy Of Richmond | El Cerrito | CA | 08/2023 | 06/2024 |
| Sonoma State University | Rohnert Park | CA | 07/2022 | 05/2023 |
| Sonoma State University | Rohnert Park | CA | 08/2021 | 05/2022 |
| Sonoma State University | Rohnert Park | CA | 08/2019 | 05/2023 |
| Embarcadero Financial Group | San Francisco | CA | 07/2022 | 08/2022 |
| El Cerrito Youth Baseball | El Cerrito | CA | 04/2013 | 06/2019 |
| Wildcats Baseball | Albany | CA | 08/2025 | 07/2026 |
| El Cerrito Youth Baseball | El Cerrito | CA | 08/2025 | Present |
| Neuberger Berman Bd Llc | San Francisco | CA | 08/2026 | Present |
El Cerrito Youth Baseball; not investment related; Cerrito Vista Park, 950 Pomona Ave., El Cerrito, CA 94530; Baseball Development; Head Coach; Start date 8/20/2025; Approx. 8hr/month; Zero hrs devoted to this during business securities trading hours; Head coach of developmental fall baseball program
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-12-09 |
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