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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-16 |
| WA | RA | APPROVED | 2026-01-16 |
Branch Locations
4000 Carillon Point Suite 600, Kirkland, WA 98033 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| R And B International, Llc. | Bothell | WA | 07/2015 | Present |
| J.P. Morgan Securities Llc | Kirkland | WA | 10/2015 | 03/2017 |
| J.P. Morgan Chase Bank, N.A. | Kirkland | WA | 10/2015 | 03/2017 |
| Hsbc Bank Usa, N.A. | Seattle | WA | 04/2017 | 07/2022 |
| Hsbc Securities Usa Inc. | Seattle | WA | 04/2017 | 07/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 07/2022 | 01/2026 |
| Bank Of America N.A. | Seattle | WA | 07/2022 | 01/2026 |
| Morgan Stanley Smith Barney Llc | Kirkland | WA | 01/2026 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 02/2026 | Present |
(1) 678037 - Mathnesium of Mukilteo / Not Investment Related / Mukilteo, WA / Sole Proprietor, Owner Employee / Start 01-November-2018 / 0 hours / This is a math tutoring business run by my wife, Betty Yiu Au. I am not involved.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-31 |
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