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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-02 |
Branch Locations
19708 Colima Road, Rowland Heights, CA 91748 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Rosemead | CA | 09/2014 | 07/2023 |
| Bank Of America, N.A. | Rosemead | CA | 09/2014 | 07/2023 |
| Charles Schwab & Co., Inc. | Diamond Bar | CA | 07/2023 | Present |
| Charles Schwab Bank, Ssb | Diamond Bar | CA | 07/2023 | Present |
1) Rental Property | Investment Related:No|1039 Palmetto Ave #H9|Ontario|CA|91762|USA|Real Estate (Non-Agent/Broker)|Owner |5/1/2014||0|Passive management of rental property. (Eg. Collect rents, bills & maintenance.)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-25 |
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