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155 Bovet Road, Suite 725, San Mateo, CA 94402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-12-26 |
Branch Locations
9940 Research Drive Suite 200, Irvine, CA 92618 • United States
Chino, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Irvine | CA | 11/2014 | 03/2017 |
| Jpmorgan Chase Bank | Irvine | CA | 10/2014 | 03/2017 |
| Equity Services Inc | Montpelier | VT | 02/2018 | 01/2020 |
| Germaine Ma | Alhambra | CA | 12/2017 | Present |
| Unemployed | Chino | CA | 03/2017 | 02/2018 |
| Emerson Equity Llc | San Mateo | CA | 12/2019 | Present |
1).-GERMAIN MA,388 E VALLEY BLVD,STE 201,ALHAMBRA,CA 91801,INV REL,INSURANCE,AGENT,ONGOING,12/01/2017,DURING TRD/HRS,40+ HRS. 2)-AMERICAN NATIONAL INSURANCE COMPANY-INVESTMENT RELATED-FIXED LIFE INSURANCE-388 E VALLEY BLVD STE 201 ALHAMBRA, CA 91801-10 HOURS PER MONTH DURING SECURITIES TRADING HOURS-WRITING AGENT FOR FIXED LIFE INSURANCE, 12/2020 3)-FIDELITY & GUARANTEE LIFE INSURANCE COMPANY- INVESTMENT RELATED-FIXED LIFE INSURANCE-388 E VALLEY BLVD STE 201 ALHAMBRA, CA 91801-10 HOURS PER MONTH DURING SECURITIES TRADING HOURS-WRITING AGENT FOR FIXED LIFE INSURANCE, 12/2020
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 2014-02-16 |
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