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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-09-28 |
| CA | RA | APPROVED | 2023-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch Pierce Fenner & Smith | Irvine | CA | 11/2019 | 03/2021 |
| Amway - North America Business Center | Buena Park | CA | 01/2017 | 11/2019 |
| Amway - National Accounts Department | Buena Park | CA | 07/2014 | 01/2017 |
| Bank Of America, N.A. | Morgan Hill | CA | 03/2021 | 01/2022 |
| Merrill Lynch Pierce Fenner & Smith | Morgan Hill | CA | 03/2021 | 01/2022 |
| E*Trade Securities Llc | Cupertino | CA | 01/2022 | 10/2023 |
| E*Trade Capital Management Llc | Cupertino | CA | 01/2022 | 10/2023 |
| Morgan Stanley | Palo Alto | CA | 03/2023 | Present |
I*429365 For profit or not for profit: Entity Charitable Name of outside business organization: Jose Valdes Math Foundation Investment related: N Address of business: San Jose, California, 95159 Nature of business: ["Charitable Organization"] Position, title, association: ["Committee","Board Member"], [["Fundraising committee"]] Start date of relationship: 5/12/2021 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Board Member.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-02-27 |
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