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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-18 |
Branch Locations
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
10880 Wilshire Boulevard 23Rd Floor, Los Angeles, CA 90024 • 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 |
|---|---|---|---|---|
| Raymond James | Houston | TX | 08/2010 | 11/2019 |
| Unemployed | Fulshear | TX | 12/2019 | 01/2021 |
| D.A. Davidson & Co. | Los Angeles | CA | 01/2021 | 01/2023 |
| Oppenheimer & Co. Inc. | Los Angeles | CA | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-14 |
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