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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-04-14 |
| CA | RA | APPROVED | 2009-10-23 |
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 | Laguna Niguel | CA | 10/2009 | Present |
| Bank Of America,N.A. | Laguna Niguel | CA | 06/2011 | Present |
I*496526, Entity Type: Entity For Profit, Name of OBA: Rental Property 2, Address: Laguna Niguel, California 92677, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 06/22/2012, No Hours: 10, No Hours during trading: 0, Duties: Owner of Rental Property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-29 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-01 |
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