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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-29 |
| CA | RA | APPROVED | 2021-06-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Union Bank Of California | San Francisco | CA | 11/2003 | 02/2018 |
| Unionbanc Investment Services | San Francisco | CA | 07/2005 | 02/2018 |
| Lpl Financial Llc | San Francisco | CA | 02/2018 | 05/2021 |
| Hamano & Associates | San Francisco | CA | 02/2018 | 05/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 05/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-24 |
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