I am a San francisco-based Financial Adviser. I am dedicated to helping my clients develop enduring trust by paying attention to their unique needs and giving them the level of care they desire. I offer my services to individuals, privately held businesses, and non-profits. With over 32 years of experience as a qualified stock broker and investment counselor, I have worked closely with two well-known US companies. I’m eager to get to know you and am here to answer any questions you may have. Please get in touch with me if you would like more information about my method of financial planning or if I may assist you in reaching your financial goalsI have licenses in about thirty-one states and have passed five brokerage qualification examinations.
Job Exeprience
08/06/1991 - 01/08/1992
RYAN, BECK & CO. (CRD#:3248)
Investment Advisor Representative
12/06/1991 - 08/05/1992
J. B. HANAUER & CO. (CRD#:6958)
Investment Advisor Representative
08/04/1992 - 04/15/2003
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
Investment Advisor Representative
04/04/2003 - 07/03/2007
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Investment Advisor Representative
06/22/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CRD#:8209)
Investment Advisor Representative
10/04/2013 - 09/14/2020
RBC CAPITAL MARKETS, LLC (CRD#:31194)
Investment Advisor Representative
9/11/2020 - Present
MORGAN STANLEY (CRD#:149777)
Investment Advisor Representative
Brokerage Examinations
5/5/1999
PRINCIPAL/SUPERVISORY EXAM (1)
General Securities Principal Examination - SERIES 24
7/22/1998
GENERAL INDUSTRY/PRODUCTS EXAM
General Securities Representative Examination - SERIES 7
10/1/2018
GENERAL INDUSTRY/PRODUCTS EXAM
Securities Industry Essentials Examination - SIE
7/18/2001
STATE SECURITY LAW EXAM
Uniform Securities Agent State Law Examination - SERIES 63
5/10/2005
STATE SECURITY LAW EXAM
Uniform Investment Adviser Law Examination - SERIES 65