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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-07 |
| WA | RA | APPROVED | 2022-08-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 2020-05-11 |
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