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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-13 |
| TX | RA | APPROVED_RES | 2024-03-13 |
Branch Locations
2029 Century Park East, Floor 37, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 09/1996 | 11/2020 |
| Bank Of America, N.A. | Los Angeles | CA | 07/2011 | 11/2020 |
| First Republic Securities Company, Llc | Los Angeles | CA | 11/2020 | 10/2023 |
| First Republic Investment Management, Inc. | Los Angeles | CA | 11/2020 | Present |
| J.P. Morgan Securities Llc | Los Angeles | CA | 09/2023 | Present |
| Jp Morgan Chase Bank, N.A. | Los Angeles | CA | 10/2023 | Present |
| Ovii | Fargo | ND | 10/2024 | Present |
Entity Name: Ovii Investment related: No "Address: Ovii/Utera LLC 4501 23rd Avenue S Fargo, ND 58104" Nature of the other business: Food & Beverage Position/Title/Relationship: Owner/Partner Start Date: 10/25/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Ovii is a wellness company focusing on healthy juices. Timber Point Properties Investment related: N Address of business: Pacific Palisades, California 90272 Nature of business: LLC Position, title, association: General Partner Start date of relationship: 11/29/2016 Number of hours devoted: 5 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Rental property. I have a management company that handles the day to day responsibility. Morgan Park LLP Investment related: N Address of business: Dallas, California 75206 Nature of business: LLC for Real Estate Position, title, association:3rd Owner LLC Start date of relationship: 06/01/2005 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Rental property inherited. I have no responsibilities, my brother manages the property. Name: New Directions Investment-related: No Nature of the business: Guidance 501c3 charity for people with disabilities Role: Director Start Date: 11/01/2017 Description of duties: Board of Directors Number of hours each month: 1 Number of hours during trading: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-31 |
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