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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-04-14 |
| CA | RA | APPROVED | 2019-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pasadena | CA | 09/2018 | Present |
| Unemployed | Los Angeles | CA | 07/2017 | 09/2018 |
| Rogerson Kratos | Pasadena | CA | 04/2016 | 07/2017 |
| Bank Of America, N.A. | Pasadena | CA | 10/2018 | Present |
I have other outside business activities that generate passive income -- I am the owner of two rental properties under my name Ming Tam. I do not actively manage these properties but they are investment-related income. The first property in Pasadena, CA 91101, purchased in 2005. The second property is address in Los Angeles, CA 90042, purchased in 2010. I spend at most 1 hour each month to perform property management duties (landlord) for this other business, but that time is conducted outside of work hours (personal time). I devote zero (0) hours to this other business during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-08 |
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