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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-06-19 |
| CA | RA | APPROVED | 2008-12-08 |
Branch Locations
520 Newport Center Dr Pbig - Fashion Island, Newport Beach, CA 92660 • United States
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 | Newport Beach | CA | 12/2008 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 07/2011 | Present |
I*105077 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: VINTAGE AUTO RACING ASSOCIATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: CHINO HILLS, CALIFORNIA 91709 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/1/2017 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: VINTAGE CAR RACING; DUTY IS TO FUND RAISE. I*505842 For profit or not for profit: Entity For Profit Name of outside business organization: Barnett Motorsports Investment related: N Address of business: Del Mar, California, 92014 Nature of business: ["Limited Liability Company"] Position, title, association: ["Officer"], Start date of relationship: 1/10/2022 Number of hours devoted: 5 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Co-Author Childrens Picture Book/ Design apparel and other automotive themed merchandise
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1988-12-29 |
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