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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-11-27 |
Branch Locations
155 Lake Avenue North Suite 430, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 626 Games | Alhambra | CA | 05/2014 | 12/2019 |
| Hsbc Bank (Usa) N.A. | Temple City | CA | 07/2015 | 12/2016 |
| Hsbc Securities (Usa) Inc. | Temple City | CA | 12/2016 | 04/2022 |
| Hsbc Bank Usa, National Association | Temple City | CA | 08/2015 | 12/2016 |
| Hsbc Bank Usa, N.A. | Temple City | CA | 12/2016 | 04/2022 |
| Ctbc | San Marino | CA | 04/2022 | 08/2022 |
| Cetera Investment Services Llc | St Cloud | MN | 05/2022 | 08/2022 |
| Cetera Investment Services Llc | Saint Cloud | MN | 05/2023 | Present |
| Unknown | Hacienda Heights | CA | 08/2022 | 04/2023 |
| Cetera Investment Advisers Llc | Monrovia | CA | 11/2023 | Present |
1. CO-OWNER OF ARES PALACE LLC (50% OWNERSHIP, PINNACLE REAL ESTATE GROUP; REAL ESTATE AGENT FOCUS ON SELLING PROPERTIES TO CUSTOMERS; ARES PALACE LLC IS AN ACQUISITION COMPANY FOCUSING ON WHOLESALE PROPERTIES; 5 HRS/WK; SALES THROUGH ROYAL OAK BUILDERS, INC; REMODEL AND NEW CONSTRUCTION ON RESIDENTIAL PROPERTIES; 10 HRS/WK
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 2012-04-09 |
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