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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-02-06 |
| CA | RA | APPROVED | 2024-11-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Huntington Beach | CA | 04/2023 | 09/2024 |
| Wells Fargo Clearing Services, Llc | Huntington Beach | CA | 04/2023 | 09/2024 |
| Metro Pointe Premier Realty, Inc. | Anaheim | CA | 11/2018 | 04/2023 |
| Omnia Real Estate Services | Anaheim | CA | 07/2017 | 04/2022 |
| California State University, Fullerton | Fullerton | CA | 08/2014 | 08/2021 |
| Fullerton College | Fullerton | CA | 01/2017 | 12/2018 |
| Keller Williams Realty | Seal Beach | CA | 12/2017 | 11/2018 |
| California State University, Fullerton | Fullerton | CA | 08/2014 | 12/2016 |
| Ca Dept Of Social Services In-Home Supportive Services Program | Garden Grove | CA | 07/2023 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Garden Grove | CA | 09/2024 | Present |
| Lyft Inc | San Francisco | CA | 07/2023 | 01/2024 |
| Uber | San Francisco | CA | 07/2023 | 01/2024 |
| Bank Of America, N.A. | Garden Grove | CA | 10/2024 | Present |
I*2026316 Name of the other businessCalifornia Department of Social Services In-Home Supportive Services ProgramWhether the business is investment-relatedNo, business is not investment-related.Address of the other business Santa Ana, CA 92705Nature of the other businessCaregiver for mentally disabled family member.Your positionCaregiverTitle, or relationship with the other businessEmployeeStart date of your relationship07/10/2023Approximate number of hours/month you devote to the other business144.76 hours per monthNumber of hours you devote to the other business during securities trading hours0 hours during securities trading hoursBriefly describe your duties relating to the other businessI provide the caretaking services for family member in my own home. I*2201304, Entity Type: Entity For Profit, Name of OBA: 24 Hour Home Care, Address: Fullerton, California, 92835, Investment Related: N, Position, Title, Association: Employee, Employee State Date: 02/24/2025, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: Caregiver for household member
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 2023-06-30 |
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