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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-09-25 |
| TX | RA | APPROVED_RES | 2016-07-28 |
Branch Locations
2815 Townsgate Rd, Westlake Village, CA 91361 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 11/2015 | Present |
| Bank Of America, N.A. | New York | NY | 01/2016 | Present |
I*134835 For profit or not for profit: Non-Profit Organization Name of outside business organization: Korean American Family Services, Inc. (KFAM) Investment related: No Address of business: Los Angeles, California 90020 Nature of business: Charitable Organization Position, title, association: Advisory Board Member Start date of relationship: 12/1/2020 Number of hours devoted: 4 hour Quarterly Number of hours devoted during trading hours: 0 Duties: The 501(c)(3) empowers underserved Korean American and Asian Pacific Islander families through culturally responsive programs: Asian Foster Family Initiative, Child & Adult Wellness, Clinical Counseling, Domestic Violence. Role: board member. I*: 2332269 Entity Type: Charitable Name of OBA: California Council on Economic Education (CCEE) Address: Long Beach, CA 90807 Investment Related: No Position, Title, Association: Committee, Board Member Employee Start Date: 05/01/2025 Number of Hours: 24 hrs annually Number of Hours during trading: 0 Duties: Mission: To equip California teachers, and especially their students, with the tools and knowledge of personal finance and economics to empower them to make more impactful decisions for themselves, their families and their communities. My expected responsibilities: Help raise funds via give or get; help oversee CCEE's financial stability and supervising CEO; .attend 75% of board meetings, committee meetings, and retreats; prioritize the annual gala (unless unable due to travel or incapacity); and attend at least one CCEE teacher or student event annually; maintain confidentiality; respect distinction between governance and management; follow policies and comply w/ laws; uphold highest ethical standards.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 2009-04-11 |
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