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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-11 |
| CA | RA | APPROVED | 2019-06-27 |
Branch Locations
444 South Flower Street,34Th Floor, Los Angeles, CA 90071 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tsubasa | Rosemead | CA | 05/2015 | Present |
| Axa Advisors, Llc | New York | NY | 07/2016 | 06/2019 |
| Morgan Stanley | Los Angeles | CA | 06/2019 | Present |
Japanese American Citizens League; Non investment-related; 1765 Sutter Street, San Francisco, CA 94115; Community engagement non-profit organization; Board member; Start date February 2019; Approx. 6 hours/month; 0 hours during securities trading hours; Duties are to attend monthly meetings and volunteer at local events.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-09-27 |
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