Ray Xuan Diao

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-02-29
NJ	RA	APPROVED	2024-02-09

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Pruco Securities Llc	East Hanover	NJ	09/2018	04/2019
Td Bank	Princeton	NJ	10/2017	10/2018
Amazon Logistics	Langhorne	PA	08/2017	10/2017
Tcnj Aquatic Center	Ewing	NJ	03/2016	05/2017
The College Of New Jersey	Ewing	NJ	08/2014	05/2018
The Prudential Insurance Company Of America	East Hanover	NJ	09/2018	04/2019
Jpmorgan Chase Bank, N.A.	Princeton	NJ	05/2019	05/2022
J.P. Morgan Securities Llc	Princeton	NJ	05/2019	05/2022
Wells Fargo Clearing Services, Llc	Lawrenceville	NJ	05/2022	01/2024
Wells Fargo Bank, Na	Lawrenceville	NJ	05/2022	01/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Mount Laurel	NJ	01/2024	Present
Bank Of America, N.A.	Mount Laurel	NJ	03/2024	Present

09/2018 → 04/2019

Pruco Securities Llc

East Hanover, NJ
10/2017 → 10/2018

Td Bank

Princeton, NJ
08/2017 → 10/2017

Amazon Logistics

Langhorne, PA
03/2016 → 05/2017

Tcnj Aquatic Center

Ewing, NJ
08/2014 → 05/2018

The College Of New Jersey

Ewing, NJ
09/2018 → 04/2019

The Prudential Insurance Company Of America

East Hanover, NJ
05/2019 → 05/2022

Jpmorgan Chase Bank, N.A.

Princeton, NJ
05/2019 → 05/2022

J.P. Morgan Securities Llc

Princeton, NJ
05/2022 → 01/2024

Wells Fargo Clearing Services, Llc

Lawrenceville, NJ
05/2022 → 01/2024

Wells Fargo Bank, Na

Lawrenceville, NJ
01/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mount Laurel, NJ
03/2024 → Present

Bank Of America, N.A.

Mount Laurel, NJ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-07-28
S63	Uniform Securities Agent State Law Examination	2018-11-12

Other Firms