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Los Angeles, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Polestar Capital Llc | Palo Alto | CA | 06/2007 | Present |
| B. Riley Fbr, Inc. | Los Angeles | CA | 07/2019 | 12/2024 |
| Texas Capital Bank | Los Angeles | CA | 12/2024 | Present |
| Tcbi Securities | Los Angeles | CA | 02/2025 | Present |
Texas Capital Bank: - employee - investment-related - 2000 McKinney Avenue, Ste. 700, Dallas, TX 75201 - commercial bank - Managing Director, Equity Research - start date 12/18/2024 - During trading hours - performing equity research on companies
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-07-23 |
| S65 | Uniform Investment Adviser Law Examination | 2006-04-06 |
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