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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-09-11 |
Branch Locations
3075 Hansen Way, Palo Alto, CA 94304 • United States
800 E Colorado Blvd, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bancwest Investment Services, Inc | Union City | CA | 01/2014 | 10/2018 |
| U.S. Bancorp Investments, Inc. | Los Gatos | CA | 10/2018 | 11/2018 |
| Fidelity Brokerage Services Llc | Los Gatos | CA | 11/2018 | 12/2022 |
| Pruco Securities, Llc | San Jose | CA | 12/2022 | 08/2023 |
| The Prudential Insurance Company Of America | San Jose | CA | 12/2022 | 08/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Palo Alto | CA | 08/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-09 |
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