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Current Employers
Griffinest Asia Asset Management, Llc

301 N. Lake Ave., Suite 110, Pasadena, CA 91101 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-03-11
  • CA RA
    APPROVED
    Since 2021-03-11

Branch Locations

301 N. Lake Ave., Suite 110, Pasadena, CA 91101 • United States

Glendora, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Griffinest Asia Securities, Llc Pasadena CA 02/2011 Present
Griffinest Asia Asset Management, Llc Pasadena CA 03/2021 Present
Other Businesses

Name: Taste Memory Corp (Non-investment-related) Address: 1335 Bonnie Cove Ave. Glendora CA 91740 Nature: Food Catering and Provider Position, title: Secretary Start from: 03/01/2022 Devote 40 hours per month, all work will begin after securities trading hours Duties: Accounting, Quick Book, Bill pay, Apply and maintain Permit, Contact buyer, and so on

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-08
S63 Uniform Securities Agent State Law Examination 2015-10-07
  • S66 Uniform Combined State Law Examination
    2021-03-08
  • S63 Uniform Securities Agent State Law Examination
    2015-10-07

View on SEC IAPD

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