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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 |
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 | Napa | CA | 09/1989 | Present |
| Bank Of America, N.A. | Napa | CA | 07/2010 | Present |
1)OCCASIONAL SALES CONSULTANT TO WINE INDUSTRY. WHITFORD SELLERS, NAPA, CA 94558, SALES CONSULTANT OUT SIDE CONSULTANT, 3 HOURS MONTHLY, CHANING RED SELLERS, MIDDLETOWN, CA 95461 SALES CONSULTANT OUTSIDE CONSULTANT 3 HOURS MONTHLY COMPEN- SATION NONE. 2)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MCQUEERLY MEADOWS LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:SAINT HELENA, CALIFORNIA 94574POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 6/1/2012NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I AM SETTING UP AN LLC TO HOLD THE FUNDS FOR CURRENT AND FUTURE MOVIE PRODUCTION 3)FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ELEVEN ELEVEN MOVEI LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:SEDONA AZ, ARIZONA 86336NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 4/1/2013NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THE LLC WILL HOLD THE FUNDS FOR THE PRODUCTION OF THE MOVIE ELEVEN ELEVEN.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1989-12-21 |
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