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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-08-14 |
| TX | RA | APPROVED_RES | 2013-01-25 |
| CO | RA | APPROVED | 2005-08-23 |
Branch Locations
1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States
4900 Hopyard Rd, Pleasanton, CA 94588 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Emglewood | CO | 02/2000 | Present |
I*88275 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ADVANCED EMERGENCY SYSTEMS LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: RIVER VALE, NEW JERSEY 7675 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 11/17/2015 NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: EMERGENCY SERVICES /RESPONSE SOFTWARE I*1573285 For profit or not for profit: Entity For Profit Name of outside business organization: Ruby Hill Winery Investment related: N Address of business: Pleasanton, California, 94566, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["Employee"], Start date of relationship: 11/18/2023 Number of hours devoted: 15 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Hospitality Ambassador
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-08-22 |
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