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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-23 |
| TX | RA | APPROVED | 2021-07-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | Palo Alto | CA | 07/2013 | 07/2021 |
| Hsbc Bank Usa, N.A. | Palo Alto | CA | 08/2016 | 07/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 07/2021 | Present |
| Bank Of America, N.A. | San Jose | CA | 08/2021 | Present |
I*1742288 Entity Type, Name of OBA: Rental Property 1 Address: san joseCalifornia95128 Investment Related: No Compensation: Yes Position, Title, Association: Sole owner Employee Start Date: 05/13/2022 No Hours: Yearly No Hours during trading: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 2009-12-23 |
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