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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-10-15 |
| CA | RA | APPROVED | 2010-10-29 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 10/2010 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 06/2011 | Present |
I*8427 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Irvine, California 92620 Nature of business: , Position, title, association: , Start date of relationship: 3/1/2016 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: I*37493 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ZENPHARM INTERNATIONAL & CO. INVESTMENT RELATED: N ADDRESS OF BUSINESS: IRVINE, CALIFORNIA 92603 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/15/2002 NUMBER OF HOURS DEVOTED: 8 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PHARMACEUTICAL CONSULTING, MAINLY PROVIDE CONSULTING SERVICES TO MY FRIEND'S SMALL BUSINESSES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-10-24 |
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