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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-05-16 |
Branch Locations
2399 Seal Beach Blvd. Suite 101, Seal Beach, CA 90740-5630 • United States
3421 E. Imperial Highway Suite E-1, Brea, CA 92823 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wescap Group | Glendale | CA | 11/2011 | 07/2017 |
| Wescap Group | Glendale | CA | 07/2017 | 08/2018 |
| Ameriprise Financial Services, Llc | Chino Hills | CA | 08/2018 | 03/2021 |
| Ameriprise Financial Services, Llc | San Dimas | CA | 03/2021 | 03/2023 |
| Ameriprise Financial Services, Llc | San Dimas | CA | 03/2023 | 04/2024 |
| Charles Schwab & Co., Inc. | Brea | CA | 05/2024 | Present |
| Charles Schwab Bank, Ssb | Brea | CA | 05/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-11-26 |
| S65 | Uniform Investment Adviser Law Examination | 2017-07-15 |
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