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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 | 2021-11-23 |
Branch Locations
2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States
1 S Milpitas Blvd, Milpitas, CA 95035 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mufg Union Bank | Menlo Park | CA | 08/2015 | 04/2017 |
| Unionbanc Investment Services | Menlo Park | CA | 06/2016 | 04/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Menlo Park | CA | 10/2017 | 11/2021 |
| East West Bank | Milpitas | CA | 05/2017 | 06/2017 |
| Unemployed | Fremont | CA | 06/2017 | 08/2017 |
| Comerica Bank | Los Altos | CA | 08/2017 | 10/2017 |
| Bank Of America, N.A. | Menlo Park | CA | 02/2018 | 11/2021 |
| Wells Fargo Clearing Services, Llc | Walnut Creek | CA | 11/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-01-18 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-01 |
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