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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 2022-10-07
WA RA APPROVED 2022-08-19
  • TX RA
    APPROVED
    Since 2022-10-07
  • WA RA
    APPROVED
    Since 2022-08-19

Branch Locations

401 Union St, Seattle, WA 98101 • 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
U.S. Bancorp Investments, Inc. Seattle WA 11/2019 11/2021
U.S. Bank Seattle WA 10/2017 11/2021
John L. Scott Real Estate - West Seattle Seattle WA 05/2017 10/2017
Momentum Seattle WA 08/2014 03/2017
Oppenheimer & Co. Inc Seattle WA 11/2021 07/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 08/2022 Present
Bank Of America, N.A. Seattle WA 09/2022 Present
Previous Registrations
Other Businesses

I*1092312For profit or not for profit: Entity CharitableName of outside business organization: Chinese Information and Service Center (CISC)Investment related: NoAddress of business: Seattle, Washington, 98104Nature of business: Charitable OrganizationPosition, title, association: Board Member Start date of relationship: 1/2/2023Number of hours devoted: 2.5 hrs MonthlyNumber of hours devoted during trading hours: 0Duties: CISC is a non-profit organization working to support immigrants and their families by creating opportunities for them to succeed, while honoring their heritage in the Chinese, Eastern Europe, Latin America and other Asian Communities. I*: 2244257Entity Type: CharitableName of OBA: University of Oregon Alumni Association Seattle ChapterAddress: Eugene, OR 97403Investment Related: NoPosition, Title, Association: Committee, Board MemberEmployee Start Date: 4/5/2025Number of Hours: 2 hrs mthlyNumber of Hours during trading: 1 hr mthly Duties: University of Oregon Alumni Association (UOAA) fosters lifelong relationships, deepens engagement, and advocates on behalf of the university and Duck alumni around the world. Seattle Chapter will mainly focus on the outreach to alums in the Puget Sound Region. Role: Event/Watch Party Chair. Responsibility: Develop event calendar, coordinate with potential vendors for event/game day watch party on behalf of the Chapter and track attendance I*3337265, Entity Type: Entity For Profit, Name of OBA: Relixa Surgical?, Inc., Address: Newark, Delaware, 19702, Investment Related: N, Position, Title, Association: Committee, Other, Employee Start Date: 01/01/2026, No Hours: 6 Yearly, No Hours during Trading: 0 Yearly, Duties: Provide high-level guidance on strategic planning, marketing strategy, commercialization pathway strategy and and partnership development to support the Company¿s growth and multi-indication platform strategy. A medical device early stage start-up

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-15
S63 Uniform Securities Agent State Law Examination 2020-05-11
  • S65 Uniform Investment Adviser Law Examination
    2021-03-15
  • S63 Uniform Securities Agent State Law Examination
    2020-05-11
Other Names
  • Tai Liu Jay-E Shih
  • Angela Chai-Lin Wu
  • Chai-Lin Wu
  • Jay-E Shih Emmingham
  • Jay-E S Emmingham
  • Js Emmingham
  • Ta-Liu Shih
  • Ta-Liu Jay-E Shih

View on SEC IAPD

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