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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-04-13 |
| UT | RA | APPROVED | 2018-04-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 04/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Provo | UT | 04/2018 | Present |
| Bank Of America, N.A. | Provo | UT | 06/2018 | Present |
I*404460, Entity Type: Entity For Profit, Name of OBA: R and M Investments, LLC, Address: Provo, Utah 84604, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 06/01/2017, No Hours: 0.33, No Hours during trading: 0, Duties: This LLC is used as pass through account for passive investing on a personal level with a friend that is building a condominium project. The friend is not a client and there is no other involvement of any other persons or solicitation by me.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-24 |
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