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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2025-10-30 |
| ME | RA | APPROVED | 2021-04-16 |
| TX | RA | APPROVED_RES | 2017-05-05 |
| CA | RA | APPROVED | 2017-05-04 |
Branch Locations
2029 Century Park East, Floor 37, Los Angeles, CA 90067 • United States
601 S. Figueroa Street Floor 35, Los Angeles, CA 90017 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Los Angeles | CA | 10/2008 | 05/2017 |
| Jpmorgan Chase Bank Na | Los Angeles | CA | 05/2017 | Present |
| Jpmorgan Securities Llc | Los Angeles | CA | 05/2017 | Present |
| Waldenbrook Llc | El Segundo | CA | 12/2014 | 12/2021 |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-10-14 |
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