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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-02-10 |
| TX | RA | APPROVED_RES | 2012-10-29 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
Newport Beach, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Irvine | CA | 10/2009 | Present |
| Bank Of America,N.A. | Newport Beach | CA | 06/2011 | Present |
Name of the other business Whether the business is investment-relatedNot Investment related Address of the other business Nature of the other business Your position Successor Trustee Title, or relationship with the other business Start date of your relationship8/13/2018 Approximate number of hours/month you devote to the other business.33 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-23 |
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