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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-06-14 |
| CA | RA | APPROVED | 2024-02-07 |
Branch Locations
411 Borel Avenue Suite 220, San Mateo, CA 94402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Millbrae | CA | 05/2007 | 10/2017 |
| Hsbc Bank Usa, N.A. | San Jose | CA | 10/2017 | 02/2022 |
| Hsbc Securities (Usa) Inc. | San Jose | CA | 12/2017 | 02/2022 |
| Citigroup | San Mateo | CA | 03/2022 | 05/2022 |
| Morgan Stanley | San Mateo | CA | 05/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 2002-12-02 |
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