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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-03-30 |
| TX | RA | APPROVED | 2023-03-30 |
Branch Locations
200 N Westlake Blvd Suite 201 Floor 2, 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 | Los Angeles | CA | 10/2009 | 03/2023 |
| Bank Of America, N.A. | Los Angeles | CA | 06/2011 | 03/2023 |
| Wells Fargo Advisors Financial Network, Llc | Westlake Village | CA | 03/2023 | Present |
WAYPOINT PRIVATE WEALTH MANAGEMENT, LLC DBA WAYPOINT PRIVATE WEALTH MANAGEMENT, INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP, START DATE 4/5/2023, 160 HRS PER MONTH, 8 HRS DURING TRADING, FINET PRACTICE. SHALIMAR, LLC, INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP, START DATE 2007, 3 HRS PER MONTH, 0 HRS DURING TRADING, HOLDS RENTAL PROPERTY. RIETTE, LLC, INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP, START DATE 1988, 3 HRS PER MONTH, 0 HRS DURING TRADING, HOLDS RENTAL PROPERTY. RENTAL PROPERTY, INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 1988, 3 HRS PER MONTH, 0 HRS DURING TRADING, OWNER. RENTAL PROPERTY, INVT RELATED, CEDAR HILLS, UT, 100% OWNERSHIP WITH SPOUSE, START DATE 2007, 3 HRS PER MONTH, 0 HRS DURING TRADING, OWNER. CALIFORNIA STATE BAR LAW LICENSE; NOT INV. RELATED; SAN FRANCISCO, CA; START DATE 12/13/1994; 0 HOURS PER MONTH. DUTIES: NONE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-27 |
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