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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-02-13 |
| CA | RA | APPROVED | 2025-12-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Palo Alto | CA | 08/2025 | Present |
| Industrial Securities | Hangzhou | 09/2019 | 12/2022 | |
| Zheshang Bank | Hangzhou | 04/2015 | 09/2019 | |
| University Of Southern California | Los Angeles | CA | 03/2023 | 08/2024 |
| University Of Southern California | Los Angeles | CA | 09/2024 | 07/2025 |
| Bank Of America, N.A. | Palo Alto | CA | 11/2025 | Present |
I*3838265 Entity Type: Not for Profit Name of OBA: USC Alumni Association Silicon Valley Chapter Address: Los Angeles, California, 90089 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 03/09/2026 Number of Hours: 0.5, Monthly Number of Hours during trading: 0 Duties: To forge alumni connections in the silicon valley, to support the University through engagement, volunteerism, and to uphold the promise of the Trojan Family. I will serve as a volunteer with no financial authority, investment responsibilities, or fundraising duties.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-04-26 |
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