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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-12-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Diamond Bar | CA | 07/2021 | 09/2024 |
| Charles Schwab Bank, Ssb | Diamond Bar | CA | 07/2021 | 09/2024 |
| East West Bank | Diamond Bar | CA | 09/2019 | 06/2021 |
| Din Tai Fung | Arcadia | CA | 12/2018 | 06/2020 |
| Hsbc | Rowland Heights | CA | 09/2017 | 09/2018 |
| Us Army | Bell | CA | 09/2015 | 08/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 09/2024 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 10/2024 | Present |
| East West Bank | Cerritos | CA | 12/2024 | Present |
| Cetera Investment Services Llc | St Cloud | MN | 12/2024 | Present |
| Cetera Investment Advisers Llc | Cerritos | CA | 12/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2023-09-09 |
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