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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 | 2022-02-18 |
| TX | RA | APPROVED | 2022-02-18 |
Branch Locations
433 N Camden Dr 9Th Fl, Beverly Hills, CA 90210 • United States
500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • United States
Rancho Palos Verdes, CA • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | El Segundo | CA | 07/2006 | 02/2022 |
| Bank Of America,N.A. | El Segundo | CA | 06/2011 | 02/2022 |
| Wells Fargo Clearing Services, Llc | Beverly Hills | CA | 02/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-21 |
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