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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2019-12-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Salt Lake City | UT | 07/2019 | Present |
| Wells Fargo Bank | Las Vegas | NV | 05/2006 | 05/2019 |
| Unemployed | Herriman | UT | 05/2019 | 07/2019 |
I*1605270, Entity Type Entity For Profit, Name of OBA: K C LLC Address: Herriman Utah 84096 Investment Related: No Position, Title, Association: Owner Employee Start Date: 12/01/2023 No Hours: 2 Monthly No Hours during trading: 2 Monthly Duties: Assist wife with furniture deliveries outside of business hours. Spouses furniture business I*2173287, Entity Type: , Name of OBA: THE W AND M C TRUST, DTD 10/12/2001, Address: Orem, Utah, 84097, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 24-Jan-2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-25 |
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