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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-16 |
| TX | RA | APPROVED_RES | 2021-05-18 |
| CA | RA | APPROVED | 2021-04-01 |
Branch Locations
San Francisco, CA • United States
1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Walnut Creek | CA | 03/2021 | Present |
| Citigroup Global Markets | San Francisco | CA | 05/2010 | 07/2019 |
| Dunhill Financial | San Francisco | CA | 07/2019 | 03/2021 |
551264 - FINRA ; Investment related - No ; Los Angeles, California ; Investment/Finance/Banking ; FINRA Arbitrator, Contractor(proprietor, partner, officer, director, employee, trustee, agent) ; 6/2023 ; During business hours : 7 ; After business hours : 3 ; Listen to both sides of securities related disputes, weigh the facts and participate with other panel members to make a case decision..
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-28 |
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