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388 Greenwich Street, New York, NY 10013 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-29 |
Branch Locations
Cwm Retail, Sales 201 North Garfield Avenue, Monterey Park, CA 91754 • United States
Citi Wealth Management, Sales 285 South Lake Avenue, Pasadena, CA 91101 • United States
West Covina, 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 03/2015 | 10/2017 |
| Bank Of America, N.A. | Los Angeles | CA | 03/2015 | 10/2017 |
| Cetera Investment Services Llc | St Cloud | MN | 10/2017 | 08/2025 |
| Cathay Bank | San Gabriel | CA | 10/2017 | 08/2025 |
| Cetera Investment Advisers Llc | San Gabriel | CA | 10/2017 | 08/2025 |
| Citigroup | Monterey Park | CA | 08/2025 | Present |
1.) SOLE MEMBERS OF KDK1 LLC; RENTAL PROPERTIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-29 |
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