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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2008-03-18 |
| CA | RA | APPROVED | 2004-09-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Phoenix | AZ | 11/1997 | Present |
| Bank Of America, N.A. | Gilbert | AZ | 06/2011 | Present |
I*136489 For profit or not for profit: Non-Profit Organization Name of outside business organization: Aid to Women Center Investment related: N Address of business: Tempe, Arizona 85281 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 4/19/2021 Number of hours devoted: 4 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: The Aid to Women Center provides health care to women who find themselves in crisis situations and are uninsured or otherwise can not afford healthcare.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1989-10-17 |
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