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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-11-22 |
Branch Locations
14428 Big Basin Way, Saratoga, CA 95070 • United States
50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | El Monte | CA | 03/2016 | 02/2017 |
| Cetera Investment Advisers Llc | El Monte | CA | 11/2016 | 02/2017 |
| Lpl Financial, Llc | El Monte | CA | 02/2017 | 09/2017 |
| Cetera Investment Advisers Llc | Milpitas | CA | 09/2017 | 04/2019 |
| Jp Morgan Chase Bank, N.A. | Hawthorne | CA | 05/2019 | 11/2022 |
| J.P. Morgan Securities Llc | Hawthorne | CA | 05/2019 | 11/2022 |
| Cetera Investment Advisers Llc | Milpitas | CA | 09/2017 | 04/2019 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 11/2022 | Present |
| Cathay Bank | Milpitas | CA | 09/2015 | 04/2019 |
RENTAL PROPRETY; INV RELATED; DIAMOND BAR, CA; 100% OWNERSHIP; START 8/1/2019; 1 HR PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-11-03 |
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