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555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-23 |
Branch Locations
4275 Executive Square 7Th Floor, La Jolla, CA 92037 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United States Air Force | Kirtland Afb | NM | 02/2016 | 03/2023 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2023 | 05/2024 |
| Northwestern Mutual Investment Services Llc | Albuquerque | NM | 08/2023 | 05/2024 |
| City National Securities, Inc. | La Jolla | CA | 09/2024 | Present |
| Unemployed | Albuquerque | NM | 06/2024 | 08/2024 |
(1) Name of Entity: Kendot Gaming; Non investment-related; Address: 2430 Cardinal Drive, Apt 6, San Diego, CA, 92123 ; Nature of OBA: Video gaming streaming channel; Position/Title/Relationship: Sole Proprietor; Start Date: 2025-05-08; Time devoted: 100 hours per month; 0 during securities trading hours; Duties: Edit media, create content, post on YouTube, Facebook, Twitch, TikTok. (2) Name of Entity: Kendo Investments, LLC; Investment-related; Address: 2430 Cardinal Drive, Apt 6, San Diego, CA, 92123 ; Nature of OBA: Purchasing, holding, renovating rental/investment properties; Position/Title/Relationship: Sole Proprietor; Start Date: 2025-05-08; Time devoted: 60 hours per month; 0 during securities trading hours; Duties: Finding properties, purchasing and selling properties, running units with tenants.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-01-17 |
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