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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-02-15 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa | CA | 10/2009 | Present |
I*1686417, Entity Type: Fiduciary role, Name of OBA: S 2023 TRUST DTD 12/16/2023, Address: SANTA ROSA, California 95409, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 01/31/2024, No Hours: 12, No Hours during trading: 0, Duties: Trustee I*: 2177299 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: SANTA ROSA, CA 95407 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 08/23/2024 Number of Hours: 1hr annually Number of Hours during trading: 0 Duties: Co-owner of Rental Property with other family members
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 2002-11-07 |
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