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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-09-09 |
Branch Locations
19625 Stevens Creek Blvd, Cupertino, CA 95014 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Hair Cut Place | Albuquerque | NM | 05/2011 | 11/2016 |
| Bank Of The West | Albuquerque | NM | 05/2016 | 08/2022 |
| Bancwest Investment Services, Inc. | Albuquerque | NM | 05/2016 | 08/2022 |
| East West Bank | Cupertino | CA | 09/2022 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 09/2022 | Present |
| Cetera Investment Advisers Llc | Cupertino | CA | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-06 |
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