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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-11-15 |
| TX | RA | APPROVED | 2023-11-15 |
Branch Locations
2829 Townsgate Road Suite 200, Westlake Village, CA 91361 • United States
9100 Ming Avenue Suite 205, Bakersfield, CA 93311 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| University Of California, Santa Barbara | Santa Barbara | CA | 09/2015 | 09/2017 |
| Axa-Advisors, Llc | New York | NY | 10/2017 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Encino | CA | 04/2018 | 08/2019 |
| Carrillo Dining Commons | Goleta | CA | 06/2016 | 09/2017 |
| Rbc Capital Markets, Llc. | Beverly Hills | CA | 08/2019 | 11/2023 |
| Morgan Stanley | Westlake Village | CA | 11/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-11 |
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