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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-10-19 |
Branch Locations
655 W. Broadway Ste 1000, San Diego, CA 92101-8485 • United States
La Mesa, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | San Diego | CA | 09/1995 | 05/2017 |
| Mufg Union Bank | San Diego | CA | 06/2017 | 12/2018 |
| Unionbanc Investment Services | El Cajon | CA | 07/2017 | 12/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 12/2018 | 10/2020 |
| Rbc Capital Markets, Llc | San Diego | CA | 10/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2003-11-29 |
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