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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-03-15 |
| TX | RA | APPROVED | 2024-03-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mufg Union Bank | 27730 Santa Margarita Pkwy | CA | 12/2014 | 03/2017 |
| Unionbanc Investment Services/Us Bancorp | Mission Viejo | CA | 01/2016 | 03/2017 |
| Wells Fargo Bank Na | Laguna Niguel | CA | 03/2017 | 08/2022 |
| Wells Fargo Clearing Services, Llc | Laguna Niguel | CA | 03/2017 | 08/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Irvine | CA | 08/2022 | 03/2024 |
| Bank Of America, N.A. | Irvine | CA | 08/2022 | 03/2024 |
| J.P. Morgan Securities Llc | Irvine | CA | 03/2024 | Present |
| Jpmorgan Chase Bank, N.A. | Irvine | CA | 03/2024 | Present |
| U.S. Bancorp Advisors, Llc | Mission Viejo | CA | 01/2016 | 03/2017 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-09 |
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