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240 Greenwich Street 9Th Floor East, New York, NY 10286-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
200 Park Avenue, New York, NY 10166 • United States
1600 Newport Center Drive Suite 200, Newport Beach, CA 92660 • United States
Irvine, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City National Securities | Beverly Hills | CA | 03/2016 | 10/2018 |
| Umpqua Investments | Irvine | CA | 10/2018 | 11/2019 |
| Bny Mellon | Newport Beach | CA | 11/2019 | Present |
| Bny Mellon Securities Corporation | Newport Beach | CA | 06/2021 | Present |
[1] Employee of BNY Mellon discussing investment management, trust and estate planning, banking, credit, and/or lending services provided by BNY Mellon. [2] Committee Member of Alpha Association of Latino Professionals for America, a non-profit organization, located at 3571 Far West Blvd 3695, Austin, Texas, 78731. Working for 4 hour per month since May 2026, no specific hours per month devoted to business during securities trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 2019-09-16 |
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