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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-11-06 |
| CA | RA | APPROVED | 2024-10-29 |
| TX | RA | APPROVED_RES | 2024-10-29 |
Branch Locations
Scottsdale, AZ • United States
5700 Wilshire Blvd Suite 120A, Los Angeles, CA 90036 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Beverly Hills | CA | 09/2008 | 10/2024 |
| City National Bank | Century City | CA | 07/2016 | 10/2024 |
| Equitable Advisors, Llc | New York | NY | 10/2024 | Present |
1. Independent Agent - Outside Fixed Insurance Sales. 2. Rental real estate property owner. 3. Winds of the West, LLC - Owner/passive partner with wife. Holding company for aircraft. Located at: 124 Broadkill Rd., #496, Milton, DE 19968. Not investment related. 4. trustee with spouse of personal family trust
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-04 |
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