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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-09-30 |
| TX | RA | APPROVED | 2024-09-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Securities (Usa) Inc. | Irvine | CA | 06/2016 | 07/2018 |
| Hsbc Bank Usa Na | Irvine | CA | 06/2016 | 07/2018 |
| Citibank, N.A.,/Citigroup | Irvine | CA | 07/2018 | 12/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Irvine | CA | 11/2020 | 07/2024 |
| Bank Of America, N.A. | Irvine | CA | 11/2020 | 07/2024 |
| Trio Investment & Holding Llc | Walnut | CA | 10/2020 | 11/2022 |
| Citigroup Global Markets Inc. | Irvine | CA | 07/2018 | 11/2020 |
| Wells Fargo Advisors, Llc | Alhambra | CA | 04/2014 | 09/2016 |
| Jpmorgan Chase Bank, N.A. | Alhambra | CA | 09/2024 | Present |
| J.P. Morgan Securities Llc | Alhambra | CA | 09/2024 | Present |
| Wells Fargo Clearing Services, Llc | Alhambra | CA | 04/2014 | 09/2016 |
| Wells Fargo Bank Na | Alhambra | CA | 02/2013 | 09/2016 |
Entity Name: Yoga Teacher Investment related: No Address: Private Residence Nature of the other business: Health & Fitness Position/Title/Relationship: Employee/Contractor Start Date: 09/11/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I will be a freelanced yoga teacher that teach private class or group class in studios or public park.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-11 |
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