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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-09-20 |
| WA | RA | APPROVED | 2024-09-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Softbank China Venture Capital | Shanghai | 06/2011 | 02/2017 | |
| J.P. Morgan Securities Llc | Seattle | WA | 05/2019 | 02/2021 |
| Unemployed | Seattle | WA | 03/2017 | 04/2019 |
| Jpmorgan Chase Bank, N.A. | Seattle | WA | 05/2019 | 02/2021 |
| Unemployed | Bothell | WA | 03/2021 | 08/2021 |
| Mufg Union Bank | Woodinville | WA | 08/2021 | 12/2021 |
| Union Bank/Unionbanc Investment Services | Seattle | WA | 08/2021 | 12/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 01/2022 | 09/2024 |
| Bank Of America, N.A. | Bellevue | WA | 01/2022 | 09/2024 |
| Jpmorgan Chase Bank, N.A. | Issaquah | WA | 09/2024 | Present |
| J.P. Morgan Securities Llc | Issaquah | WA | 09/2024 | Present |
| U. S. Bankcorp Advisors, Llc | Seattle | WA | 09/2021 | 12/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 2019-07-22 |
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