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333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-04 |
Branch Locations
580 California Street 19Th Floor, San Francisco, CA 94104 • United States
San Francisco, CA • United States
50 South Lasalle, Chicago, IL 60603 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, Na And Merrill Lynch, Pierce, Fenner & Smith In | San Diego | CA | 10/2014 | 08/2017 |
| Golub Group, Llc | San Mateo | CA | 10/2017 | 06/2018 |
| Unemployed | San Francisco | CA | 06/2020 | 02/2022 |
| Unemployed | San Francisco | CA | 09/2017 | 10/2017 |
| Unemployed | San Francisco | CA | 06/2018 | 10/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 02/2022 | 08/2025 |
| Alphaflow Advisor Llc | San Francisco | CA | 10/2018 | 06/2020 |
| Northern Trust | San Francisco | CA | 08/2025 | Present |
| Northern Trust Securities, Inc. | San Francisco | CA | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-16 |
| S65 | Uniform Investment Adviser Law Examination | 2015-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-01 |
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