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2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
610 Newport Center Dr. Suite 300, Newport Beach, CA 92660 • United States
2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Durham | NC | 01/2014 | 09/2018 |
| Seia Llc | Newport Beach | CA | 09/2018 | Present |
| Sii / John Hancock | Los Angeles | CA | 10/2018 | 11/2018 |
| Royal Alliance Associates, Inc. | Los Angeles | CA | 11/2018 | 08/2023 |
| Ses Inc. | Newport Beach | CA | 08/2023 | Present |
1. SEIA POSITION: Client Service Manager NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 9/30/2018 ADDRESS: 610 Newport Center Drive, Suite 300, Newport Beach, CA 92660, United States DESCRIPTION: Client Services Manager at Independent RIA SEIA, LLC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-08 |
| S63 | Uniform Securities Agent State Law Examination | 2014-11-13 |
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