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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 | 2023-06-05 |
Branch Locations
3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westlake Village | CA | 06/2009 | 10/2018 |
| Bank Of America,N.A. | Westlake Village | CA | 06/2011 | 10/2018 |
| First Republic Securities Company, Llc | Los Angeles | CA | 10/2018 | 06/2023 |
| First Republic Investment Management, Inc. | Los Angeles | CA | 10/2018 | 06/2023 |
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 06/2023 | Present |
CA LAW LICENSE, NOT INV RELATED, WESTLAKE VILLAGE, CA, LAW LICENSE, START 6/5/23, 0 HRS PER MONTH & TRADING, NON PRACTICING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-21 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-16 |
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