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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-04-06 |
| CO | RA | APPROVED | 2026-03-13 |
| CA | RA | APPROVED | 2024-06-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kingswood Capital Partners | Petaluma | CA | 06/2023 | 06/2024 |
| Market Financial Group | San Rafael | CA | 05/2003 | 04/2019 |
| John Cumbelich & Associates | Walnut Creek | CA | 05/2014 | 05/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Napa | CA | 05/2024 | Present |
| Pacific Bay Lending | San Rafael | CA | 04/2019 | 05/2024 |
| Ups | Petaluma | CA | 11/2023 | 12/2023 |
| Bank Of America, N.A | Napa | CA | 06/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 2024-01-09 |
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