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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-05-29 |
| CA | RA | APPROVED | 2024-09-26 |
| TX | RA | APPROVED | 2024-09-25 |
Branch Locations
608 Silver Spur Rd, Rolling Hills Estates, CA 90274 • United States
520 Newport Center Dr, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc | Seal Beach | CA | 02/2019 | 07/2022 |
| Capstone Partners Financial And Insurance Services Inc | Newport Beach | CA | 07/2013 | 02/2019 |
| Morgan Stanley | Long Beach | CA | 07/2022 | 09/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Rolling Hills Estates | CA | 09/2024 | Present |
| Mamassachusetts Mutual Life Insurance Co | Seal Beach | CA | 06/2019 | 09/2019 |
* 510339 - Shut Your Pie Hole Bakery; Investment related -No; Costa Mesa, California; Restaurant/Bar/Nightclub; Sole Proprietor/Owner(proprietor, partner, officer, director, employee, trustee, agent); 07/2022; During business hours: 0; After business hours: 5; owner
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-27 |
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