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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-09-14 |
| CA | RA | APPROVED | 2021-07-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citi Bank | Temple City | CA | 04/2012 | 07/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Brea | CA | 07/2021 | Present |
| Bank Of America, N.A. | Brea | CA | 07/2021 | Present |
I*1068296 For profit or not for profit: Name of outside business organization: Lion's (Meat & Seafood Productions) LTD. Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: lend money to family friend to help them with their business operation
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-17 |
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