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3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-10-30 |
Branch Locations
333 Commerce St, Nashville, TN 37201 • United States
3420 Ocean Park Blvd. Ste 3060, Santa Monica, CA 90405 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sierra Investment Management, Llc | Santa Monica | CA | 06/2015 | Present |
| Northern Lights Distributors, Llc | Elkhorn | NE | 06/2015 | Present |
| Ocean Park Asset Management, Llc | Santa Monica | CA | 06/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-23 |
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