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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-05-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Boston | MA | 07/2012 | 10/2017 |
| Kinecta Financial & Insurance Services, Llc | Westlake Village | CA | 07/2012 | 10/2017 |
| Unionbanc Investment Services | Los Angeles | CA | 10/2017 | 07/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 07/2020 | 05/2023 |
| Bank Of America, N.A. | Los Angeles | CA | 08/2020 | 05/2023 |
| Charles Schwab & Co., Inc. | Torrance | CA | 05/2023 | Present |
| Charles Schwab Bank, Ssb | Torrance | CA | 05/2023 | Present |
1) Quach Family Trust | Investment Related:No|11917 Centralia St |Lakewood |CA|90715|USA|Real Estate (Non-Agent/Broker)|Owner/Landlord |12/1/2024|Less than 20|0|There is an ADU added to my current residence which I rent out.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 1999-01-08 |
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