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555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-17 |
Branch Locations
555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa N.A. | Fremont | CA | 03/2014 | 07/2021 |
| Hsbc Securities (Usa) Inc. | Milpitas | CA | 10/2014 | 10/2018 |
| Hsbc Securities (Usa) Inc. | San Francisco | CA | 12/2019 | 07/2021 |
| Rbc Capital Markets, Llc | San Francisco | CA | 07/2021 | 06/2024 |
| Home | Dublin | CA | 06/2024 | 01/2025 |
| City National Securities, Inc. | Los Angeles | CA | 01/2025 | Present |
1) Name; rental property, Investment related: no ownership of rental property, Address: 271 N Orinda St Mountain House CA 95391, Nature of business: owner of rental property, Position: owner, Start date: 06/05/2013, Duties: Renting out and managing maintenance of rental property from time to time. Hours/month: 0, Hours during securities trading hours: 0, (2) NAME OF ENTITY: Developments in Literacy ADDRESS: 17320 Red Hill Avenue, Suite 120, Irvine CA 92614 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: LA based not for profit that raises funds for and manages children's schools CAPACITY: Volunteer as Treasurer of the San Francisco Chapter START DATE: 8/1/2012 DUTIES: Keeping record of fund raising efforts and making budgets HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2014-11-10 |
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