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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1994-03-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Anaheim | CA | 05/1989 | Present |
| Bank Of America,Na | Brea | CA | 09/2009 | Present |
I*95026FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: OC UNITEDINVESTMENT RELATED: NADDRESS OF BUSINESS: FULLERTON, CALIFORNIA 92835NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 7/1/2016NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: COMMITTEE TO JOIN TEAM TO HELP NEEDY FAMILIIES. IT IS CALLED THE COMPASSION FUND. MY ROLE IS TO HELP CHOOSE THE FAMILIES WE WILL HELP I*336785, Entity Type Non-profit, Name of OBA: Forest Home Ministries Address: Forest FallsCalifornia92339 Investment Related: No Position, Title, Association: Board Member Employee Start Date: March 1, 2002 No Hours: 5 monthly No Hours during trading: 0 Duties: Director/Board Member Christian Ministry
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-21 |
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