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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-10-01 |
| CA | RA | APPROVED | 2021-09-29 |
Branch Locations
4350 La Jolla Village Drive Suite 1000, San Diego, CA 92122 • 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 |
|---|---|---|---|---|
| Ameriprise Financial | San Diego | CA | 02/2014 | 12/2018 |
| Thomas Dudley | San Diego | CA | 01/2019 | 07/2020 |
| Thomas Smith | San Diego | CA | 01/2019 | 02/2020 |
| Andrew Cook | San Diego | CA | 01/2019 | 02/2020 |
| Northwestern Mutual Investment Services Llc | San Diego | CA | 01/2019 | 07/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2019 | 07/2020 |
| James E Whistler | San Diego | CA | 05/2019 | 07/2020 |
| David W Mc Quade | San Diego | CA | 05/2019 | 07/2020 |
| Morgan Stanley Smith Barney Llc | San Diego | CA | 09/2021 | Present |
| Lpl Financial, Llc | San Diego | CA | 07/2020 | 09/2021 |
09/21/21 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary Public - Started 07/01/2020 - 1 Hour Per Month During Securities Trading - Notary Public for clients.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 2011-11-21 |
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