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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-01-28 |
| CA | RA | APPROVED | 2009-01-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 01/2009 | Present |
| Bank Of America, N.A. | San Jose | CA | 08/2009 | Present |
I*106837 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ADELA LEE INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN JOSE, CALIFORNIA 95125 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/2006 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I WROTE 2 BOOKS IN CHINESE AND PUBLISHED THEM IN 2007. 1. THE MERMAID, PUBLISHED IN JAN 2007 2. THE SWIM, PUBLISHED IN OCT 2007. THE FIRST BOOK WAS BASICALLY FOCUSED ON HOW I GOT THE DIVORCE IN 1993 AND RAISED MY KIDS (THREE OF THEM) FROM AGE 3,6 &9. (2)FU JEN UNIVERSITY FOUNDATION - BOARD OF DIRECTORS I*39163 For profit or not for profit: Non-Profit Organization Name of outside business organization: Villages Da-Gu Drumming for Health Investment related: N Address of business: Saratoga, California 95070 Nature of business: Other,Community service Position, title, association: Other, I'm the Instructor for drumming Start date of relationship: 3/6/2011 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Instructor of the drumming class
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-20 |
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