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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-04-12 |
| CA | RA | APPROVED | 2022-10-20 |
Branch Locations
3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • United States
925 Broadbeck Dr, Newbury Park, CA 91320 • 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 |
|---|---|---|---|---|
| J.P.MOrgan Securities Llc | Thousand Oaks | CA | 05/2013 | 10/2022 |
| Wells Fargo Clearing Services, Llc | Santa Barbara | CA | 10/2022 | Present |
RENTAL PROPERTY, INV RELATED, PINE MOUNTAIN CLUB, CA, 100% OWNERSHIP WITH SPOUSE, START 12/15/2018, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-22 |
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