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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-09-26 |
| 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
18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • United States
Scottsdale, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Century City | CA | 05/2006 | 02/2022 |
| Bank Of America,N.A. | Century City | CA | 06/2011 | 02/2022 |
| Wells Fargo Clearing Services, Llc | Beverly Hills | CA | 02/2022 | Present |
CONTINGENT BENEFICIARY; NOT INV RELATED; LOS ANGELES, CA; CONTINGENT BENE FOR IRA; BENEFICIARY; START DATE: 07/29/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; MACNGUYEN FAMILY 2012 TRUST; INV RELATED;SCOTTSDALE,AZ; CO-TRUSTEE OF A FAMILY TRUST; TRUSTEE/CO-TRUSTEE; START DATE: 03/31/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-21 |
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