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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-07-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of The West | Cerritos | CA | 07/2015 | 07/2023 |
| Bancwest Investment Services | Cerritos | CA | 07/2015 | 07/2023 |
| Lpl Financial Llc | Huntington Beach | CA | 07/2023 | 06/2024 |
| J.P. Morgan Securities Llc | Whittier | CA | 06/2024 | Present |
| Jpmorgan Chase Bank, N.A. | Whittier | CA | 06/2024 | Present |
| Bmo Bank N.A. | Huntington Beach | CA | 07/2023 | 06/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-05 |
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