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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-05
CA RA APPROVED 2024-05-08
  • TX RA
    APPROVED
    Since 2024-07-05
  • CA RA
    APPROVED
    Since 2024-05-08

Branch Locations

50 W San Fernando St, San Jose, CA 95113 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hsbc Bank Usa N.A Irvine CA 10/2022 08/2023
Hsbc Securities Usa Inc. Irvine CA 08/2023 03/2024
Cornell University Ithaca NY 09/2021 05/2022
Sunny Bay Home Care Llc Mission Viejo CA 06/2020 04/2021
N/A San Juan Capistrano CA 06/2022 09/2022
Orient. Bangxin Capital Co.,Ltd Beijing 06/2021 08/2021
University Of California, Irvine Irvine CA 09/2018 03/2021
Crean Lutheran High School Irvine CA 08/2013 08/2018
Viiva Llc Irvine CA 11/2019 04/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Jose CA 04/2024 Present
Bank Of America N.A. San Jose CA 05/2024 Present
  • 10/2022 → 08/2023
    Hsbc Bank Usa N.A
    Irvine, CA
  • 08/2023 → 03/2024
    Hsbc Securities Usa Inc.
    Irvine, CA
  • 09/2021 → 05/2022
    Cornell University
    Ithaca, NY
  • 06/2020 → 04/2021
    Sunny Bay Home Care Llc
    Mission Viejo, CA
  • 06/2022 → 09/2022
    N/A
    San Juan Capistrano, CA
  • 06/2021 → 08/2021
    Orient. Bangxin Capital Co.,Ltd
    Beijing
  • 09/2018 → 03/2021
    University Of California, Irvine
    Irvine, CA
  • 08/2013 → 08/2018
    Crean Lutheran High School
    Irvine, CA
  • 11/2019 → 04/2020
    Viiva Llc
    Irvine, CA
  • 04/2024 → Present
    San Jose, CA
  • 05/2024 → Present
    Bank Of America N.A.
    San Jose, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-02
  • S66 Uniform Combined State Law Examination
    2024-02-02

View on SEC IAPD

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