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4195 East Thousand Oaks Blvd. Suite 250, Westlake Village, CA 91362 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-05-28 |
Branch Locations
4195 East Thousand Oaks Blvd. Suite 250, Westlake Village, CA 91362 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | West Lake Village | CA | 06/1983 | 05/2024 |
| Bank Of America, N.A. | Westlake Village | CA | 09/2009 | 05/2024 |
| Alteri Wealth | Westlake Village | CA | 05/2024 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2024 | Present |
1.) Alteri Wealth. Investment related. At registered location. RIA. IAR. 5/24. 160. 160. Client management. 2.) Fixed Insurance. Investment related. At registered location. Fixed/Traditional Insurance. Agent. 6/24. 1. 1. Provide Insurance advice based on the needs of the clients. 3.) PKS, investment related at registered RIA location. RR 10/24 160 hours with all hours during trading hours. Relationship management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1983-09-14 |
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