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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-10-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa N.A. | Walnut | CA | 08/2014 | 06/2018 |
| Mufg Union Bank | Irvine | CA | 06/2018 | 06/2022 |
| Unionbanc Investment Services | Irvine | CA | 06/2018 | 06/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 06/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-11-13 |
| S65 | Uniform Investment Adviser Law Examination | 2010-09-20 |
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