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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-03-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa, N.A. | Flushing | NY | 08/2016 | 08/2018 |
| East West Bank | Flushing | NY | 10/2018 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 10/2018 | Present |
| Cetera Investment Advisers Llc | Flushing | NY | 10/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-08 |
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