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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-02-20
CA RA APPROVED 2017-10-27
  • TX RA
    APPROVED
    Since 2019-02-20
  • CA RA
    APPROVED
    Since 2017-10-27

Branch Locations

9545 Las Tunas Dr, Temple City, CA 91780 • 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 Beverly Hills CA 06/2017 Present
Bank Of America, N.A. Alhambra CA 09/2014 06/2017
Bank Of America, N.A. Beverly Hills CA 01/2018 Present
Other Businesses

I*10332 For profit or not for profit: Name of outside business organization: rental property Investment related: Address of business: Alhambra, California 91801 Nature of business: , Position, title, association: , Start date of relationship: 11/26/2020 Number of hours devoted: 1 hour Number of hours devoted during trading hours: 0 Duties: I*10475 Entity Type: Rental Property Name of outside business organization: BP Rental Investment related: Address of business: Baldwin Park, California 91706 Position, title, association: Start date of relationship: 1/20/2021 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: I*700253 Entity Type: Rental Property Name of outside business organization: Rental Property 1 Investment related: No Address of business: Rosemead, California, 91770 Position, title, association: Co-owner with other family members, Start date of relationship: 12/15/2021 Number of hours devoted: 1 hour Monthly Number of hours devoted during trading hours: 0 Duties: I*5059268, Entity Type: Entity For Profit, Name of OBA: Prime Sports Card Trading, Address: ca, California, 91775, Investment Related: N, Position, Title, Association: ["Officer"], Employee Start Date: 08/13/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: a manager is expected to run the business and my expected responsiblity is to pay the manager for his serivce and the goods that he source, the operation is mainly run with the manager taking of the operation buy sports cards, and sell them online

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-26
  • S66 Uniform Combined State Law Examination
    2017-10-26
Other Names
  • Jimmy Yu

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