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388 Greenwich Street, New York, NY 10013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-03-13 |
Branch Locations
Chino Hills, CA • United States
Cwm Retail, Sales 1188 S. Diamond Bar Blvd., Diamond Bar, CA 91765 • United States
Cwm Retail, Sales 17801 Colima Road, City Of Industry, CA 91748 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Arcadia | CA | 10/2011 | Present |
| Wells Fargo Advisors Llc | Arcadia | CA | 10/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Arcadia | CA | 11/2016 | Present |
| Citigroup | Irvine | CA | 06/2018 | Present |
Trio Investment and Holding LLC; Food and Boba drink shop; Not investment-related; Walnut, CA; Affiliation started on 10/16/2020; Title: Partner; Duties: payroll work, business plan; 0 hours devoted each month during securities trading hours; 40 hours devoted each month outside securities trading hours.//Name of the outside business? AMK MANAGEMENT LLC//What is the nature of the outside business? Rental Property management//Is the outside business investment-related, per the definition given below? YES//What is the location of the outside business? Chino hills, California.//What date did you start the outside business affiliation? 11/7/2025//What is your title in the outside business? Partner//What are your duties in the outside business? Managing personal rental property//How many hours do you devote to the outside business each month during securities trading hours? 0//How many hours do you devote to the outside business each month outside of securities trading hours? 1-5
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-03-13 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-27 |
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