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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-04-29 |
| CA | RA | APPROVED | 2025-02-03 |
Branch Locations
1730 Saratoga Ave, San Jose, CA 95129 • United States
50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Sunnyvale | CA | 03/2015 | 11/2017 |
| Citigroup | Newark | CA | 11/2017 | 07/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 07/2019 | 01/2025 |
| Bank Of America, N.A. | San Jose | CA | 07/2019 | 01/2025 |
| Wells Fargo Clearing Services, Llc | Los Angeles | CA | 01/2025 | Present |
RENTAL PROPERTY; INV RELATED; SAN JOSE, CA; 100% OWNERSHIP; 02/2002; 1 HOUR PER MONTH; NO HOURS DURING TRADING; RENTAL RATAA CORP. (SILENT INVESTOR); NOT INV RELATED; CUPERTINO, CA; RETAIL STORE;10% OWNERSHIP; START DATE: 12/01/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-02-24 |
| S65 | Uniform Investment Adviser Law Examination | 2005-01-18 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-31 |
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