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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1993-08-25 |
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oxnard | CA | 03/1990 | Present |
| Bank Of America, N.A. | Oxnard | CA | 09/2009 | Present |
I*21424 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: BOYS AND GIRLS CLUB OF CAMARILLO INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1500 TEMPLE AVENUE 290 MAPLE CT VENTURA, CA, 93003 864 E. SANTA CLARA VENTURA, CA 93001 CAMARILLO, CALIFORNIA 93011 NATURE OF BUSINESS: OTHER, ON ADVISORY BOARD POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 39553 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DIRECTOR/BOARD MEMBER PROVIDE AFTER SCHOOL ACTIVITIES FOR YOUTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 1988-12-06 |
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