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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2024-07-08 |
| TX | RA | APPROVED | 2013-09-13 |
| CA | RA | APPROVED | 2012-10-01 |
Branch Locations
1235 Chorro Street, San Luis Obispo, CA 93401 • 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 |
|---|---|---|---|---|
| Wamu Investments, Inc | San Luis Obispo-Chorro | CA | 01/2008 | Present |
| J.P. Morgan Securities Llc | San Luis Obispo | CA | 10/2012 | Present |
| Jpmorgan Chase Bank, N.A. | San Luis Obispo | CA | 01/2008 | Present |
Entity Name: Rental Property in Arroyo Grande, California Investment related: No Address: Private Residence Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 02/18/2026 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Self Owned residential rental. The property is managed by a professional property manager and they handle all of the day to day activities required. ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 7/22/2016 ADDRESS: 186 Arroyo Grande, CA 93420 DETAILS: A professional residential property manager manages all of the activities associated with the rental HOURS DEDICATED (per month unless otherwise indicated): 0 HOURS DURING TRADING: 0 INVESTMENT RELATED: YES ACTIVITY TYPE: 1 - OUTSIDE BUSINESS ACTIVITY WITH A NON-PUBLIC ENTITY NAME OF ENTITY: (SELF) POSITION: OWNER / LANDLORD - RENTAL PROPERTY START DATE: 6/1/2014 ADDRESS: 188 ARROYO GRANDE, CA. DETAILS: MY SPOUSE MANAGES THE PROPERTY. HOURS DEDICATED (per month unless otherwise indicated): 0 HOURS DURING TRADING: 0 INVESTMENT RELATED: YES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-05-06 |
| S63 | Uniform Securities Agent State Law Examination | 2005-11-10 |
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