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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-20 |
| CA | RA | APPROVED | 2023-04-18 |
Branch Locations
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 |
|---|---|---|---|---|
| New York Life Insurance Co | San Jose | CA | 08/2016 | 12/2022 |
| Nylife Securities Llc | San Jose | CA | 08/2017 | 12/2022 |
| Financially Arise Wealth Strategies & Insurance Solutions, Llc | Concord | CA | 01/2022 | 12/2022 |
| Royal Alliance Associates, Inc. | Concord | CA | 12/2022 | 02/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oakland | CA | 03/2023 | Present |
| Bank Of America N.A. | Oakland | CA | 04/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-22 |
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