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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-12-04 |
| TX | RA | APPROVED_RES | 2019-12-04 |
Branch Locations
555 S. Flower Street Suite 810, Los Angeles, CA 90071 • United States
Pasadena, CA • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Los Angeles | CA | 11/2010 | 12/2019 |
| Rbc Capital Markets, Llc. | Pasadena | CA | 12/2019 | 02/2020 |
| City National Bank | Pasadena | CA | 01/2020 | Present |
| Rbc Capital Markets, Llc | Los Angeles | CA | 02/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-22 |
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