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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 | 2017-04-28 |
Branch Locations
23361 Pacific Coast Hwy, Malibu, CA 90265 • United States
350 W Colorado Blvd Ste 390 [Ll-Rbo], Pasadena, CA 91105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Washington Mutual Bank / Jpmorgan Chase Bank Na | Tarzana | CA | 01/2004 | 04/2017 |
| J.P. Morgan Securities Llc | Woodland Hills | CA | 10/2012 | 04/2017 |
| State Of California | Woodland Hills | CA | 10/2012 | Present |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 04/2017 | Present |
IN HOME SUPPORTIVE SERVICES, NOT INV RELATED, NORTH HOLLYWOOD, CA, CARETAKER, START 10/18/2012, 200 HOURS PER MONTH, ZERO HOURS DURING TRADING, GENERAL CARE. SELLSIO SOFTWARE LLC, INV RELATED, BATH, UNITED KINGDOM, 7.5% OWNERSHIP, START 7/1/2022, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, SILENT PARTNER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-16 |
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