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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-10-18 |
Branch Locations
1705 E. Capitol Expy, Ste. 30, San Jose, CA 95121 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Santa Clara County Federal Credit Union | San Jose | CA | 02/2005 | 11/2017 |
| Jpmorgan Chase Bank, N.A. | San Jose | CA | 11/2017 | Present |
| J.P. Morgan Securities Llc | San Jose | CA | 11/2017 | Present |
| Liane Hair Salon | San Jose | CA | 11/2017 | 11/2019 |
Entity Name: Dat Du Investment related: No Address: Private Residence Nature of the other business: Assisted Living Position/Title/Relationship: Employee/Contractor Start Date: 06/15/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am responsible for looking after my father, which involves personal care needs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 2018-01-10 |
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