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333 South Hope Street 55Th Floor, Los Angeles, CA 90071-1406 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2014-01-22 |
Branch Locations
333 South Hope Street, 55Th Floor, Los Angeles, CA 90071-1447 • United States
Saratoga Springs, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Funds Distributors, Inc. | Los Angeles | CA | 01/2014 | Present |
Horse racing LLC. Minority owner of LLC with friends to purchase horses. This is not-investment related and will have no personal duties but will share any winnings. Name of the other business: Claeson Properties - Sole Proprietor LLC / Is the business Investment Related: No / The address of the other business: , Saratoga Springs, NY 12866 / The nature of the other business: Rental property / Your position/title: Owner / Start date: 12/25/2020 / The number of hours/month you devote to the other business: 1/2 hour per month / The number of hours during securities trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-03-29 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-12 |
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