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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-16 |
| TX | RA | APPROVED | 2023-05-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | Rowland Heights | CA | 03/2016 | 02/2018 |
| Td Ameritrade, Inc. | Long Beach | CA | 02/2018 | 06/2021 |
| Td Ameritrade Investment Management, Llc | Long Beach | CA | 02/2018 | 06/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Irvine | CA | 07/2021 | 05/2023 |
| Bank Of America N.A. | Irvine | CA | 07/2021 | 05/2023 |
| J.P. Morgan Securities Llc | La Habra | CA | 05/2023 | Present |
| Jpmorgan Chase Bank, N.A. | La Habra | CA | 05/2023 | Present |
| Scottrade Investment Management | Rowland Heights | CA | 01/2017 | 02/2018 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-29 |
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