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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 | 2024-11-19 |
| TX | RA | APPROVED | 2024-11-19 |
Branch Locations
9650 Flair Dr, El Monte, CA 91731 • United States
635-637 W Duarte Rd, Arcadia, CA 91007 • 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 |
|---|---|---|---|---|
| Edward Jones | Saint Louis | MO | 04/2015 | 02/2017 |
| U.S. Bancorp Investments, Inc. | Arcadia | CA | 02/2017 | 08/2018 |
| East West Bank | San Marino | CA | 08/2018 | 09/2023 |
| Cetera Investment Services Llc | St Cloud | MN | 08/2018 | 09/2023 |
| Cetera Investment Advisers Llc | San Marino | CA | 08/2018 | 09/2023 |
| Citigroup Global Markets Inc | Monterey Park | CA | 09/2023 | 11/2024 |
| Cathay Bank | Arcadia | CA | 11/2024 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 11/2024 | Present |
| Cetera Investment Advisers Llc | Arcadia | CA | 11/2024 | Present |
1.) OWNER OF PAN'S HOME LLC; RENTAL PROPERTIES. 2.) PRESIDENT OF FAMILY PAWS RESORT LLC, DOG DAYCARE AND BOARDING, 100% OWNER, 0.5/HRS/WK.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 2012-11-30 |
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