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66 Husdson Boulevard East, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-21 |
Branch Locations
1107 S. Baldwin Avenue Suite C, Arcadia, CA 91007 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Monterey Park | CA | 09/2016 | 02/2017 |
| Axa Advisors, Llc | New York | NY | 02/2017 | 07/2017 |
| Cathay Bank | Irvine | CA | 07/2018 | 03/2019 |
| Cetera Investment Services Llc | St Cloud | MN | 10/2017 | 06/2018 |
| Cetera Investment Advisers Llc | Irvine | CA | 07/2018 | 03/2019 |
| Hsbc Bank Usa, N.A. | Diamond Bar | CA | 04/2019 | 08/2021 |
| Hsbc Securities (Usa) Inc. | Diamond Bar | CA | 05/2019 | 08/2021 |
| Bank Of East Asia (China) | Shanghai | 11/2021 | 09/2024 | |
| Hsbc Bank Usa, N.A. | Los Angeles | CA | 10/2024 | Present |
| Hsbc Securities (Usa) Inc | Los Angeles | CA | 10/2024 | Present |
Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-01-14 |
| S66 | Uniform Combined State Law Examination | 2024-11-13 |
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