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11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-01 |
Branch Locations
11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pioneer Funds Distributor, Inc. | Boston | MA | 11/2012 | 06/2017 |
| Amundi Pioneer Distributor, Inc. | Boston | MA | 07/2017 | 12/2020 |
| Amundi Distributor Us, Inc. | Boston | MA | 01/2021 | 05/2025 |
| Aristotle Capital Management, Llc | Parker | CO | 05/2025 | Present |
| Foreside Financial Services, Llc | Parker | CO | 10/2025 | Present |
Aristotle Capital Management, LLC; Investment Related; Investment Sales; Parker, CO; 5/19/25; Senior Vice President, Regional Director; Sales of SMAs, MFs, and ETFs; 160 Hrs./Mo.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-07 |
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