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388 Greenwich Street, New York, NY 10013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-01 |
Branch Locations
Cwm Retail, Sales 9503 E Las Tunas Dr., Temple City, CA 91780 • United States
Covina, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 03/2014 | 11/2018 |
| Bank Of America, N.A. | Jacksonville | FL | 03/2014 | 11/2018 |
| Cetera Investment Services Llc | St Cloud | MN | 11/2018 | 07/2023 |
| Cetera Investment Advisers Llc | Newark | CA | 11/2018 | 07/2023 |
| East West Bank | Newark | CA | 11/2018 | 07/2023 |
| Citigroup | Tustin | CA | 07/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 2011-07-21 |
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