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333 South Hope Street, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-09-30 |
| NV | RA | APPROVED | 2021-08-25 |
| CA | RA | APPROVED | 2021-07-01 |
| GA | RA | APPROVED | 2021-07-01 |
| NY | RA | APPROVED | 2021-07-01 |
| TX | RA | APPROVED_RES | 2021-07-01 |
Branch Locations
333 South Hope Street, Los Angeles, CA 90071 • United States
Steuart Tower 1 Market St., Suite 1800, San Francisco, CA 94105 • 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 |
|---|---|---|---|---|
| Wells Fargo | Walnut Creek | CA | 09/2002 | 03/2021 |
| Capital Bank & Trust Co. | San Francisco | CA | 03/2021 | 07/2021 |
| Capital Group Private Client Services, Inc. | Los Angeles | CA | 07/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-28 |
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