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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-10-06 |
| OH | RA | APPROVED | 2020-12-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cleveland Clinic | Cleveland | OH | 04/2007 | 02/2019 |
| Cle Solutions | Independence | OH | 03/2019 | 03/2019 |
| Symmetry Financial Grp | Solon | OH | 03/2019 | 06/2019 |
| Western Southern Life | Hudson | OH | 07/2019 | 03/2020 |
| W&S Brokerage Services | Cincinnati | OH | 08/2019 | 03/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pepper Pike | OH | 03/2020 | Present |
| Case Western Reserve University | Cleveland | OH | 08/2016 | 05/2019 |
| Bank Of America, N.A. | Pepper Pike | OH | 05/2020 | Present |
I*2215390, Entity Type: Entity For Profit, Name of OBA: Spirit Life Circle, Address: Solon, Ohio, 44139, Investment Related: N, Position, Title, Association: ["Other"], Employee State Date: 03/15/2025, No Hours: 1 Weekly, No Hours during Trading: 0 Weekly, Duties: Spirit Life Circle aims to help members to grow spiritually, in a safe heavenly place where each can share their weekly life story together, to be close to God, stay in the right path God has planned for them. I will be the Circle mentor. I will conduct weekly meeting, usher in the presence of God, each member can share her learning and challenge of life at this week, mentor will share her understanding of life. Pray for each other. Then have a time for each to practice hearing from God directly. God is faithful to provide, protect and point way out. Each one will have hope, encouragement, healing, and strength to carry out each daily life. I*3979285 Entity Type: Entity For Profit Name of OBA: Hannah Chen Self Book Publishing Address: Solon, Ohio, 44139 Investment Related: No Position, Title, Association: Other Employee Start Date: 03/18/2026 Number of Hours: 50, Yearly Number of Hours during trading: 0, Yearly Duties: I am publishing a book, that is related with my Christian faith and spiritual growth I write the book, publish the book I*3982271 Entity Type: N/A Name of OBA: CWRU Alumni Association Address: Cleveland, Ohio, 44106 Investment Related: No N/A Position, Title, Association: Employee Start Date: 03/11/2026 Number of Hours: 6, Monthly Number of Hours during trading: 1, Monthly Duties: I am alumni of CWRU, Connect with other Alumni, promote the connection of CWRU to alumni Attend monthly meeting in Alumni committee meeting, connect with other alumni
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 2019-11-25 |
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