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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2013-08-01 |
| TX | RA | APPROVED | 2010-07-02 |
| CT | RA | APPROVED | 2009-10-08 |
Branch Locations
500 Newport Ctr Dr, Newport Beach, CA 92660 • United States
One Bryant Park, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 09/2009 | Present |
I*129409 For profit or not for profit: For-Profit Organization Name of outside business organization: 210 collins Investment related: N Address of business: newport beach, California 92660 Nature of business: Family Business, Position, title, association: Owner, Start date of relationship: 1/24/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: we bought a second home with a garage apartment. the apartment has a tenant paying rent. I wont have any tasks or ti significant time invested. my wife will interface with the tenant I*846279 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: newport beach, California, 92662 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 7/1/2022 Number of hours devoted: 25 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-01 |
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