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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-10 |
Branch Locations
19200 Von Karman Ave 4Th Floor, Irvine, CA 92612 • United States
Placentia, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Massachusetts Mutual Life Insurance Company | Cincinnati | OH | 07/2018 | 08/2019 |
| The Guardian Life Insurance Company Of America | Cincinnati | OH | 03/2017 | 06/2018 |
| Market Street Grille | Harrison | OH | 11/2012 | 01/2017 |
| Leonard Excavating | Cleves | OH | 01/2008 | 12/2016 |
| Northern Kentucky University | Highland Heights | KY | 05/2016 | 06/2017 |
| Western & Southern Financial Group | Ontario | CA | 09/2019 | 03/2021 |
| Morgan Stanley | Claremont | CA | 04/2021 | 03/2023 |
| W&S Brokerage Services, Inc. | Ontario | CA | 10/2019 | 03/2021 |
| Mml Investors Services, Llc | Cincinnati | OH | 07/2018 | 12/2018 |
| Tiaa | Irvine | CA | 04/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Irvine | CA | 04/2023 | Present |
| University Of Georgia | Rancho Cucamonga | CA | 01/2021 | 12/2022 |
| Skylight Financial Group | Cincinnati | OH | 07/2018 | 08/2019 |
(1) Name: Professional Wrestling Position: Independent Contractor Nature: Professional Wrestling is a form of Sports Entertainment that uses simulated combat and theatrical performance to entertain an audience. Investment Related: No Hours: 24 Securities Trading Hours: 0 Start Date: 08/11/2015 Address: Home Address, Rancho Cucamonga CA 91730, United States Description: Professional Wrestlers act as fictional characters that are compensated to compete in contests sanctioned by organizations in the business of Professional Wrestling that provide Sports Entertainment. (2) MONAE INC. POSITION: Founder and Chief Executive Officer. NATURE: Monae Inc. is a proposed Delaware corporation that will be in the business of software development to create a tool for financial education. It'll help users track expenses to assist with basic budgeting. INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 04/30/2026 ADDRESS: 28422 Constellation Road, Suite 117, Valencia CA 91355, United States DESCRIPTION: Create the budgeting tool that will be used.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 2019-10-26 |
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