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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-08-19 |
| TX | RA | APPROVED | 2019-08-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America | Monterey Park | CA | 02/2016 | 01/2019 |
| Axa Advisors, Llc | New York | NY | 01/2019 | 03/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Alhambra | CA | 08/2019 | Present |
| Bank Of America, N.A. | Alhambra | CA | 08/2019 | Present |
| Unemployed | Rosemead | CA | 03/2019 | 08/2019 |
I* 1603280 , Name of OBA: BA and TB Succulents LLC Address: Rosemead California Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 12/01/2023 No Hours: 0 No Hours during trading: 0 Duties: Invest fund I*3272272 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Rosemead, CA 91770 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 12/05/2025 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: Owner of rental property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-18 |
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