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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-06-28 |
| CA | RA | APPROVED | 2022-06-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cathay Bank | Irvine | CA | 04/2019 | 04/2022 |
| Subrigo Networks | Los Angeles | CA | 01/2013 | 03/2019 |
| Cetera Investment Services Llc | St Cloud | MN | 06/2021 | 04/2022 |
| Cetera Investment Advisers Llc | Irvine | CA | 02/2022 | 04/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Brea | CA | 05/2022 | Present |
| Bank Of America, N.A. | Brea | CA | 06/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-02-03 |
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