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Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-05-25 |
Branch Locations
401 West A Street Suite 1800, San Diego, CA 92101 • 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 | La Jolla | CA | 10/2014 | 04/2018 |
| Wedbush Securities Inc | San Diego | CA | 05/2018 | Present |
INDEPENDENT CONTRACTOR/RETAIL MARKETING CONSULTANT; NOT INVESTMENT-RELATED; SAN DIEGO,CA; CONSULTING; START: 01/1998; APPROX: 10 HOURS MONTHLY, 0 HOURS DEVOTED DURING TRADING HOURS; DUTIES: PROJECT CONSULTANT
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-21 |
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