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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-14 |
| TX | RA | APPROVED_RES | 2014-02-13 |
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 | Phoenix | AZ | 01/1990 | Present |
| Bank Of America, N.A. | Phoenix | AZ | 07/2011 | Present |
I*: 468069 FOR PROFIT OR NOT FOR PROFIT: FINANCIAL SELF-REGULATORY ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: NYSE ARBITRATION PANELEST INVESTMENT RELATED: Y ADDRESS OF BUSINESS: NEW YORK, 10005 NATURE OF BUSINESS: PANEL MEMBER FOR NYSE, POSITION, TITLE, ASSOCIATION: PANEL MEMBER, START DATE OF RELATIONSHIP: 1/1/2002 NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: SIT ON A PANEL WHICH PARTICIPATES IN ARBITRATIONS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-03-22 |
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