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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-01-12 |
| CA | RA | APPROVED | 2003-01-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 08/1992 | Present |
| Bank Of America, N.A. | Beverly Hills | CA | 09/2009 | Present |
I*379379 For profit or not for profit: Name of outside business organization: Pasadena Covenant Church Investment related: N Address of business: Pasadena, California Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: Part of Finance Committee of Church. Committees have no duties or power to make decisions for the church. May present information and education on financial matters to Finance Trustee so that person has understanding of the churchs' financial topics in their role. May present church financial information to the Trustees and congregation, but does not make decisions or recommendations.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-01-04 |
| S65 | Uniform Investment Adviser Law Examination | 1999-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-21 |
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