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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2024-05-22 |
| KY | RA | APPROVED | 2024-03-06 |
| PA | RA | APPROVED | 2023-06-12 |
| AR | RA | APPROVED | 2022-09-23 |
| TX | RA | APPROVED_RES | 2022-09-23 |
| CA | RA | APPROVED | 2022-09-15 |
Branch Locations
15260 Ventura Boulevard Suite 1800, Sherman Oaks, CA 91403 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Century City | CA | 08/2002 | 09/2022 |
| Bank Of America, Na | Century City | CA | 09/2009 | 09/2022 |
| Ubs Financial Services Inc. | Sherman Oaks | CA | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-31 |
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