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66 Husdson Boulevard East, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-29 |
Branch Locations
39410 Fremont Boulevard, Fremont, CA 94538-2117 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc. | New York | NY | 11/2012 | 09/2016 |
| Penn Mutual Life Ins Co | Horsham | PA | 09/2016 | 04/2017 |
| Hornor Townsend & Kent Inc | Horsham | PA | 10/2016 | 04/2017 |
| Pruco Securities, Llc | Walnut Creek | CA | 04/2017 | 10/2019 |
| The Prudential Insurance Company Of America | Walnut Creek | CA | 04/2017 | 10/2019 |
| Bancwest Investment Services | San Francisco | CA | 10/2019 | 07/2023 |
| Bmo Bank Na | San Francisco | CA | 10/2019 | 08/2025 |
| Lpl Financial Llc | Burlingame | CA | 07/2023 | 08/2025 |
| Hsbc Bank Usa, N.A. | Fremont | CA | 08/2025 | Present |
| Hsbc Securities (Usa) Inc. | Fremont | CA | 08/2025 | Present |
1. The name of the other business - Chinese Realtor Association of America 2. Whether the business is investment-related: NO 3. The address of the other business - 945 Taraval Street, #328 San Francisco, CA 94116 4. The nature of the other business: Realtor Association 5. Your position: Board Member 6. Title/Relationship with the other business: Board of Director 7. The start date of your relationship: 8/19/2025 8. The approximate number of hours/month you devote to the other business: 30 9. The number of hours you devote to the other business during securities trading hours: 0 10. Briefly describe your duties relating to the other business: Participate on board meetings and events put together by CREAA and to provide advocacy of the organization to the community which helps promote home ownership in the Asian Community. 1. The name of the other business - Asian Health Services 2. Whether the business is investment-related: NO 3. The address of the other business - 818 Webster St, Oakland, CA 94607, 4. The nature of the other business: Healthcare provider 5. Your position: Co-Chair of Business Leadership Council 6. Title/Relationship with the other business: Co-Chair of Business Leadership council 7. The start date of your relationship: 8/19/2025 8. The approximate number of hours/month you devote to the other business: 30 9. The number of hours you devote to the other business during securities trading hours: 0 10. Briefly describe your duties relating to the other business: Provide advocacy of Asian Health Services and planning of events that promotes the well being of their engagement to the Asian Community. 1. The name of the other business - SF BARE Lions Club 2. Whether the business is investment-related: NO 3. The address of the other business - 1825 S Grant St, San Mateo, CA 94402 4. The nature of the other business: Volunteer organization 5. Your position: Board Member 6. Title/Relationship with the other business: Board member 7. The start date of your relationship: 8/19/2025 8. The approximate number of hours/month you devote to the other business: 30 9. The number of hours you devote to the other business during securities trading hours: 0 10. Briefly describe your duties relating to the other business: Charter board member of Lion's club. Our focus is to organize community base volunteerism. Help plan events and provide outreach to the community. 1. The name of the other business: Asian Health Services Foundation 2. Whether the business is investment-related: No 3. The address of the other business: 200 Webster St. Oakland, CA 94607 4. The nature of the other business: Healthcare 5. Your position: Board Member 6. Title/Relationship with the other business: Board Member 7. The start date of your relationship: 6/1/2026 8. The approximate number of hours/months you devote to the other business: 3-4hr / month 9. The number of hours you devote to the other business during securities trading hours: 0 10. Briefly describe your duties relating to the other business: I will be assisting the organization promoting their mission statement to the community and assist with hosting of events. Their mission is to provide health care to those in the diverse community.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 2012-02-06 |
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