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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2019-09-19 |
| TX | RA | APPROVED_RES | 2019-09-19 |
Branch Locations
21600 Oxnard St, 18Th Fl, Tower I Warner Center Towers, Woodland Hills, CA 91367 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Woodland Hills | CA | 05/2012 | 09/2019 |
| Wells Fargo Clearing Services, Llc | Woodland Hills | CA | 09/2019 | Present |
POSHMARK/MERCARI/AMAZON/EBAY DBA ELLIOT RESALE, NOT INVT RELATED, TARZANA, CA, 100% OWNERSHIP, START DATE 11/1/2023, 10 HRS PER MONTH, 0 HRS DURING TRADING, SELLING OLD CLOTHES ONLINE. VIKINGS CRUISES; NOT INV RELATED; WOODLAND HILLS, CA; STAFF; START 07/28/2023; 32 HOURS PER MONTH; 0 HOURS DURING TRADING; CRUISE STAFF.| ELLIOT RESALE, LLC; INV RELATED; TARZANA, CA; SELL BOOKS ;100% OWNERSHIP; START DATE: 09/06/2025; 12 HRS PER MONTH; 0 HRS DURING TRADING;|
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-06 |
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