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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-12-02
CA RA APPROVED 2025-11-25
  • TX RA
    APPROVED
    Since 2025-12-02
  • CA RA
    APPROVED
    Since 2025-11-25

Branch Locations

971 Blossom Hill Rd, San Jose, CA 95123 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 04/2019 → 01/2023
    New York Life Insurance Co
    San Jose, CA
  • 09/2019 → 01/2023
    Nylife Securities Llc
    San Jose, CA
  • 11/2016 → 04/2019
    Grubmarket
    San Francisco, CA
  • 02/2012 → 10/2016
    Unemployed
    San Jose, CA
  • 05/2022 → 01/2023
    San Jose, CA
  • 01/2023 → 03/2024
    Massmutual Life Insurance Company
    San Jose, CA
  • 01/2023 → 03/2024
    San Jose, CA
  • 06/2023 → 10/2025
    Guardian Life Insurance Company
    Campbell, CA
  • 03/2024 → 10/2025
    Campbell, CA
  • 10/2025 → Present
    San Jose, CA
  • 11/2025 → Present
    Bank Of America, N.A.
    San Jose, CA
  • 03/2024 → 10/2025
    Pacific Advisors
    Campbell, CA
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-24
S63 Uniform Securities Agent State Law Examination 2019-10-08
  • S66 Uniform Combined State Law Examination
    2025-11-24
  • S63 Uniform Securities Agent State Law Examination
    2019-10-08

View on SEC IAPD

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