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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-02-06 |
| TX | RA | APPROVED | 2024-02-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 09/2016 | 05/2019 |
| Bank Of America, N.A. | San Francisco | CA | 09/2016 | 05/2019 |
| Hsbc Bank Usa, N.A. | New York | NY | 07/2019 | 05/2020 |
| Hsbc Securities (Usa) Inc. | New York | NY | 07/2019 | 05/2020 |
| E*Trade Securities Llc | San Francisco | CA | 05/2020 | 02/2021 |
| E*Trade Financial Corp | San Francisco | CA | 05/2020 | 02/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Concord | CA | 04/2021 | 02/2024 |
| Bank Of America, N.A. | Concord | CA | 04/2021 | 02/2024 |
| J.P. Morgan Securities Llc | El Cerrito | CA | 02/2024 | Present |
| Jpmorgan Chase Bank, N.A. | El Cerrito | CA | 02/2024 | Present |
| Harrisdirect Llc | San Francisco | CA | 05/2020 | 02/2021 |
| Unemployed | Concord | CA | 06/2019 | 06/2019 |
| Unemployed | Concord | CA | 03/2021 | 03/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-04-20 |
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