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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-04-10 |
| WA | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Seattle | WA | 09/1994 | Present |
| Bank Of America, N.A. | Seattle | WA | 09/1994 | Present |
| Bank Of America, N.A. | Seattle | WA | 08/1998 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 10/2009 | Present |
NAME OF BUSINESS: CITINATIONAL, 2555 BROADWAY, SAN DIEGO, CA 92101/INVESTMENT RELATED: YES/NATURE OF BUSINESS: SETTING UP DVP ACCT SO CLIENT CAN BUY BONDS THROUGH BAI BUT HAVE THEM SHIPPED OUT AND HELD W/CITINATIONAL (401K TRUSTEE)/START DATE: ASAP-WAITING FOR CITINATIONAL TO PUT BAI ON ACCT AS BROKER OF RECORD/HOURS PER MONTH: N/A...CLIENT WILL REINVEST FUNDS AS BONDS COME DUE, 1 OR 2 PER YEAR, DURING REGULAR TRADING HOURS/DESCRIPTION OF DUTIES: CLIENT'S 401K IS HELD W/CITINATIONAL AS TRUSTEE. THEY ALLOW HIM TO NAME BAI AS BROKER OF RECORD SO HE CAN INVEST THROUGH US. CITINATIONAL NEEDS TO HOLD THE BONDS AS 401K TRUSTEE. WE WILL SET UP A DVP IRA BROKERAGE ACCT. FOR CLIENT SO HE CAN PURCHASE BONDS AT BAI AND WILL SEND BONDS OVER DVP TO CITINATIONAL. WHEN CLIENT RETIRES, HE WILL THEN BE ELIGIBLE TO ROLL THE ACCOUNT OVER TO BAI AND DISCONTINUE THE ACCT W/CITINATIONAL. I*119455 For profit or not for profit: For-Profit Organization Name of outside business organization: Four Seasons Shopping Center LLC Investment related: N Address of business: Ellensburg, Washington 98926 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 5/1/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This LLC holds rental property in Ellensburg Washington. I am a partner in the LLC. I have no active management in this property, it is managed by my spouse.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1989-08-03 |
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