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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2004-05-19 |
| CA | RA | APPROVED | 2004-01-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Ana | CA | 02/1990 | Present |
| Bank Of America, N.A. | Santa Ana | CA | 09/2009 | Present |
I*107117 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GINNY'S KIDS INTERNATIONAL INVESTMENT RELATED: N ADDRESS OF BUSINESS: ARVADA, COLORADO 80006 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 6/1/2017 NUMBER OF HOURS DEVOTED: 120 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: GINNY S KIDS INTERNATIONAL IS A REGISTERED 501C3 CHARITABLE ORGANIZATION. MY INVOLVEMENT IS TO HELP FACILITATE DREAM TRIPS FOR TERMINALLY ILL CHILDREN AND THEIR FAMILIES. I*2255281, Entity Type: , Name of OBA: L and D M Trust DTD 03/29/1995, Address: Laguna Niguel, California, 92677, Investment Related: N, Position, Title, Association: , Employee State Date: 24-Mar-2025, No Hours: 10 Yearly, No Hours during Trading: 10 Yearly, Duties: I*2335258, Entity Type: , Name of OBA: M FMLY TTEE U/A 03/29/1995 BY L T M ET AL , Address: Irvine, California, 92606, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 10-Apr-2025, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-12 |
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