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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-07 |
Branch Locations
350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • United States
1200 S Baldwin Ave, Arcadia, CA 91007 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup | Arcadia | CA | 09/2016 | 05/2022 |
| Bmo Bank Na | Pasadena | CA | 06/2022 | 07/2023 |
| Bancwest Investment Services, Inc. | Pasadena | CA | 06/2022 | 02/2023 |
| Lpl Financial Llc | San Marino | CA | 07/2023 | 01/2025 |
| Wells Fargo Clearing Services, Llc | Encino | CA | 01/2025 | Present |
| Jp Morgan Securities | Monterey Park | CA | 03/2013 | Present |
RENTAL PROPERTY; INVESTMENT RELATED; PASADENA, CA; 100% OWNER; 03/25/2016; 5 HOURS PER MONTH; NO HOURS DURING TRADING HOURS; COLLECT RENT | RENTAL PROPERTY; INVESTMENT RELATED; AZUSA, CA; 100% OWNER; 01/02/2023; 5 HOURS PER MONTH; NO HOURS DURING TRADING HOURS; COLLECT RENT | CHEN'S MUSIC; NOT INVESTMENT RELATED; WALNUT, CA; 100% OWNER; 01/01/2008; 4 HOURS PER MONTH; NO HOURS DURING TRADING HOURS; TUTOR CHILDREN ON VIOLIN
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 2014-04-16 |
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