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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-11-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mufg Union Bank | Saratoga | CA | 07/2014 | 08/2017 |
| Unionbanc Investment Services, Llc | Sunnyvale | CA | 08/2014 | 08/2017 |
| Hsbc Bank Usa Na | Cupertino | CA | 08/2017 | 09/2022 |
| Hsbc Securities Usa Inc | Cupertino | CA | 09/2017 | 09/2022 |
| J.P. Morgan Securities Llc | San Jose | CA | 09/2022 | Present |
| Jpmorgan Chase Bank, N.A. | San Jose | CA | 09/2022 | Present |
the name of the other business; investment property whether the business is investment-related; NO the address of the other business; 20455 SW Skiver St, Oregon 97078 the nature of the other business; collecting rental income your position; owner title, or relationship with the other business; property owner the start date of your relationship; April 15 2021 the approximate number of hours/month you devote to the other business; 0 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; I am the property owner of investment property, making sure always have tenant in that house.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-11 |
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