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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-12-18 |
| CA | RA | APPROVED | 2018-01-09 |
Branch Locations
28202 Cabot Road Suite 500, Laguna Niguel, CA 92677 • United States
16000 Los Gatos Boulevard, Los Gatos, CA 95032 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Redlands | CA | 07/2013 | 08/2017 |
| Bank Of America, N.A. | Redlands | CA | 07/2013 | 08/2017 |
| Bank Of America, N.A. | Upland | CA | 08/2017 | 12/2017 |
| Morgan Stanley Smith Barney Llc | Los Gatos | CA | 01/2018 | Present |
*419052 - STEVEN ANDERSON; Investment related: Yes; Rancho Santa Margarita, California; Recreation; PERSONAL - PUBLISHER (proprietor, partner, officer, director, employee, trustee, agent); 12/2020; During business hours: 0; After business hours: 1; Sales/Marketing
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-06 |
| S63 | Uniform Securities Agent State Law Examination | 2010-09-23 |
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