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3075 Townsgate Road Suite 350, Westlake Village, CA 91361 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-16 |
| CO | RA | APPROVED | 2025-09-15 |
Branch Locations
3075 Townsgate Road Suite 350, Westlake Village, CA 91361 • United States
3300 E 1St Avenue Suite 480, Denver, CO 80206 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Denver | CO | 08/2012 | 08/2025 |
| Tiaa | Denver | CO | 08/2012 | 08/2025 |
| One Capital Management | Denver | CO | 09/2025 | Present |
SHEPHERD OF THE VALLEY CONCESSIONS, CONCESSIONS FUNDRAISING POSITION: Volunteer/Front line worker NATURE: Non-profit education fundraising for tuition and education costs. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 11/14/2018 ADDRESS: 8820 Field St, Westminster CO 80021, United States DESCRIPTION: I will be volunteering at events such as concerts, and sporting events. The monies earned through this fundraising effort will go into an account to go towards the cost of education for our children. The organization I will be affiliated with is Shepherd of the Valley, a 501c3 non-profit, who subcontracts through Legends who runs the concession stands.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 2012-10-20 |
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