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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-12-02 |
| CA | RA | APPROVED | 2025-11-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Co | San Jose | CA | 04/2019 | 01/2023 |
| Nylife Securities Llc | San Jose | CA | 09/2019 | 01/2023 |
| Grubmarket | San Francisco | CA | 11/2016 | 04/2019 |
| Unemployed | San Jose | CA | 02/2012 | 10/2016 |
| Eagle Strategies Llc | San Jose | CA | 05/2022 | 01/2023 |
| Massmutual Life Insurance Company | San Jose | CA | 01/2023 | 03/2024 |
| Mml Investors Services, Llc | San Jose | CA | 01/2023 | 03/2024 |
| Guardian Life Insurance Company | Campbell | CA | 06/2023 | 10/2025 |
| Park Avenue Securities Llc | Campbell | CA | 03/2024 | 10/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 10/2025 | Present |
| Bank Of America, N.A. | San Jose | CA | 11/2025 | Present |
| Pacific Advisors | Campbell | CA | 03/2024 | 10/2025 |
I*3124281 Entity Type: N/A Name of OBA: US Chamber of Commerce Silicon Valley Address: Santa Clara, California, 95054 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 11/30/2023 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: Strengthen the Chinese American Business Community in SV, and promote business networking I quit as a treasury role since 2/1/2026. I only act as board member now for USCCCSV. I attend board meeting, and help with some business mixer events. I*4680364 Entity Type: Fiduciary role Name of OBA: The C. Family Living Trust Address: San Jose, California, 95120 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 12/18/2009 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Co-Trustee/Self, Spouse
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 2019-10-08 |
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