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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-13 |
| TX | RA | APPROVED | 2025-10-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, N.A. | San Jose | CA | 12/2015 | 09/2021 |
| Wells Fargo Clearing Services, Llc | San Jose | CA | 04/2019 | 09/2021 |
| Ross Store | Dublin | CA | 10/2013 | 07/2020 |
| Jpmorgan Chase Bank, N.A. | San Jose | CA | 09/2021 | Present |
| J.P. Morgan Securities Llc | San Jose | CA | 09/2021 | Present |
Entity Name: Hoa Kha Investment related: No Address: through online Facebook ,Instagram , and postmark Nature of the other business: E-commerce Position/Title/Relationship: Employee/Contractor Start Date: 03/01/2023 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Planning to create sole proprietorship business that selling used clothes , collection dolls , and Funko pop through social media.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-10-13 |
| S63 | Uniform Securities Agent State Law Examination | 2019-09-17 |
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