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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-03-30 |
| TX | RA | APPROVED | 2023-03-30 |
Branch Locations
245 Lytton Avenue Suite 200, Palo Alto, CA 94301 • United States
San Mateo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 06/2014 | 05/2018 |
| Bank Of America N.A. | San Francisco | CA | 06/2014 | 05/2018 |
| Jp Morgan Securities, Llc | Cupertino | CA | 05/2018 | 06/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 06/2019 | 03/2023 |
| Morgan Stanley | Palo Alto | CA | 03/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-01-08 |
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