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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2021-01-04 |
| TX | RA | APPROVED_RES | 2009-06-19 |
| CA | RA | APPROVED | 2008-12-09 |
Branch Locations
520 Newport Center Dr Pbig - Fashion Island, Newport Beach, CA 92660 • United States
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 : 7691 | Newport Beach | CA | 12/2008 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 07/2011 | Present |
I*23064 ENTITY TYPE: FOR-PROFIT ORGANIZATION NAME: LADL INC., A CA CORPORATION INVESTMENT RELATED: NO ADDRESS OF BUSINESS: NEWPORT BEACH, CALIFORNIA 92660 NATURE OF BUSINESS: OTHER, (MY WIFE) CORPORATION FOR HER WORK POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 7/19/2007 NUMBER OF HOURS DEVOTED: 2 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OFFICER DIRECTOR/BOARD MEMBER I*3313280 Entity Type: Fiduciary role Name of OBA: J. L. Address: Sarasota, Florida, 34236 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 12/15/2025 Number of Hours: 1, Weekly Number of Hours during trading: 1, Weekly Duties: Power of Attorney/ Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-13 |
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