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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-09-09 |
Branch Locations
7151 W. Manchester Blvd Fl 1, Los Angeles, CA 90045 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Westminster | CA | 09/2016 | 03/2021 |
| Wells Fargo Clearing Services, Llc | Westminster | CA | 01/2020 | 03/2021 |
| Bank Of The West | Westminster | CA | 08/2016 | 09/2016 |
| Mufg Union Bank, N.A. | Irvine | CA | 03/2021 | 07/2021 |
| Unionbanc Investment Services, Llc | Irvine | CA | 03/2021 | 07/2021 |
| Jpmc Bank Na (Southwest) | Los Angeles | CA | 07/2021 | Present |
| J.P. Morgan Securities Llc | Los Angeles | CA | 07/2021 | Present |
| Uber Eats | San Francisco | CA | 06/2021 | 08/2023 |
| Trung Le - Sole Prop | Westminster | CA | 03/2024 | Present |
Entity Name: Trung Le - Sole Prop Investment related: No Address: Westminster CA 92683 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 03/31/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Renting out ADU to tourists from Vietnam, typically acquaintances, for short-term stays. Responsibilities include occasional cleaning and maintenance of ADU.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-29 |
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