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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2026-03-12 |
| GA | RA | APPROVED | 2025-04-04 |
| AZ | RA | APPROVED | 2025-02-07 |
| NV | RA | APPROVED | 2025-01-22 |
| UT | RA | APPROVED | 2025-01-22 |
| HI | RA | APPROVED | 2025-01-21 |
| NC | RA | APPROVED | 2025-01-21 |
| CA | RA | APPROVED | 2025-01-02 |
Branch Locations
5280 Carroll Canyon Road Suite 300, San Diego, CA 92121 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sprott Global Resource Investments Ltd. | Carlsbad | CA | 11/2016 | 03/2022 |
| Walmart Inc. | San Diego | CA | 10/2012 | 11/2016 |
| Wells Fargo Advisors Financial Network, Llc | La Jolla | CA | 03/2022 | 12/2024 |
| Guardian Life Insurance Company | San Diego | CA | 12/2024 | Present |
| Park Avenue Securities Llc | San Diego | CA | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 2023-05-01 |
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