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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-08-11
  • NY RA
    APPROVED
    Since 2026-08-11

Branch Locations

69 State St, Albany, NY 12207 • United States

One Bryant Park, New York, NY 10036 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated St, Albany NY 11/2025 Present
Northwestern Mutual Albany NY 01/2025 09/2025
Jacob & Anthony's Italian Albany NY 07/2023 01/2025
The Grille By Jacob And Anthony's Clifton Park NY 08/2025 Present
The Halal Shack Albany NY 09/2021 06/2022
Cha Cha Matcha New York NY 06/2022 08/2022
Unemployed Albany NY 05/2022 07/2023
Kumon Learning Center New York NY 07/2019 08/2021
Unemployed New York NY 01/2016 07/2019
Starbucks Coffee Company Albany NY 05/2023 06/2023
Creasian Llc Albany NY 06/2023 08/2023
University At Albany Albany NY 08/2021 12/2024
  • 11/2025 → Present
    St, Albany, NY
  • 01/2025 → 09/2025
    Northwestern Mutual
    Albany, NY
  • 07/2023 → 01/2025
    Jacob & Anthony's Italian
    Albany, NY
  • 08/2025 → Present
    The Grille By Jacob And Anthony's
    Clifton Park, NY
  • 09/2021 → 06/2022
    The Halal Shack
    Albany, NY
  • 06/2022 → 08/2022
    Cha Cha Matcha
    New York, NY
  • 05/2022 → 07/2023
    Unemployed
    Albany, NY
  • 07/2019 → 08/2021
    Kumon Learning Center
    New York, NY
  • 01/2016 → 07/2019
    Unemployed
    New York, NY
  • 05/2023 → 06/2023
    Starbucks Coffee Company
    Albany, NY
  • 06/2023 → 08/2023
    Creasian Llc
    Albany, NY
  • 08/2021 → 12/2024
    University At Albany
    Albany, NY
Other Businesses

I*3162272, Entity Type Entity For Profit, Name of OBA: J & A's Address: Clifton ParkNew York12065 Investment Related: No Position, Title, Association: Employee Employee Start Date:09/15/2025 No Hours: 8 weekly No Hours during trading:0 Duties: Hostess - seating guests, greeting guests, managing reservations, Part time restaurant work

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-08-11
  • S66 Uniform Combined State Law Examination
    2026-08-11
Other Names
  • Shiying Lu

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