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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-03-24 |
Branch Locations
5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| In Home Support Services | Garden Grove | CA | 07/2009 | Present |
| Nordstrom | Seattle | CA | 12/2010 | 01/2018 |
| Jp Morgan Chase Bank N. A. | Irvine | CA | 03/2018 | 01/2022 |
| Jp Morgan Securities Llc | Irvine | CA | 03/2018 | 01/2022 |
| Jpmorgan Chase Bank, Na | Orange | CA | 01/2022 | 11/2025 |
| Jp Morgan Securities Llc | Orange | CA | 01/2022 | 11/2025 |
| Foundations Investment Advisors Llc | Phoenix | AZ | 01/2026 | 03/2026 |
| Wells Fargo Clearing Services, Llc | Irvine | CA | 03/2026 | Present |
(1) HAI EVENTS, LLC; NOT INVESTMENT RELATED; 4 CALENDULA; RANCHO SANTA MARGARITA CA, 92688; EVENT PLANNER; OWNER/PARTNER; START DATE: 02/21/2022; APPROXIMATE # OF HOURS A MONTH: 0-10; APPROXIMATE # OF HOURS DURING SECURITIES TRADING HOURS: 0; CHARCUTERIE GOODS AND BAKING. I PROVIDE BAKING AND CHARCUTERIE BOARDS FOR FRIENDS AND FAMILY. THIS IS LIMITED TO 0-5 HOURS PER MONTH DEDICATED TO THIS OUTSIDE BUSINESS ACTIVITY AND NOT CONDUCTED DURING ANY BUSINESS HOURS (2) IHSS IN HOME SUPPORT SERVICES (IHSS); NOT INVESTMENT RELATED; 4 CALENDULA, RANCHO SANTA MARGARITA, CA 92688; CARE GIVER / PROVIDER; PREPARE FOOD AND MAINTAIN THE HOUSEHOLD IN THE EVENINGS AND ON THE WEEKENDS; START DATE: 7/1/2009; HOURS DEDICATED (PER MONTH UNLESS OTHERWISE INDICATED): 30 HOURS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 2018-06-14 |
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