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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-12-09 |
| CA | RA | APPROVED | 2021-04-09 |
Branch Locations
16 Corporate Plaza Dr, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Greenwood Village | CO | 04/2011 | 08/2017 |
| Wells Fargo Clearing Services, Llc | Greenwood Village | CO | 11/2016 | 08/2017 |
| Jp Morgan Securities Llc | Boulder | CO | 08/2017 | 06/2019 |
| Jp Morgan Chase Bank | Boulder | CO | 08/2017 | 06/2019 |
| University Of Colorado | Denver | CO | 08/2005 | 12/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Irvine | CA | 06/2019 | 04/2021 |
| Bank Of America, N.A. | Irvine | CA | 08/2019 | 04/2021 |
| Charles Schwab & Co., Inc. | Newport Beach | CA | 03/2021 | Present |
| Charles Schwab Bank, Ssb | Newport Beach | CA | 03/2021 | Present |
1) Southern California Chinese Association | Investment Related:No|2923 Warwick Ave|Los Angeles|CA|90032|USA|Nonprofit Charitable Organizations|President|12/2/2019|Less than 20|0|provide guidance on organization's marketing strategy, host events (webinars and in person), career coaching and mentorship to members
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 2017-03-09 |
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