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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-05-08 |
| TX | RA | APPROVED_RES | 2018-05-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | Milpitas | CA | 05/2016 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Gatos | CA | 05/2018 | Present |
| Bank Of America, N.A. | Los Gatos | CA | 05/2018 | Present |
I*9162 For profit or not for profit: Name of outside business organization: The KP Living Trust Investment related: Address of business: Modesto, California 95351 Nature of business: Position, title, association: , Start date of relationship: 1/1/2019 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 2001-12-05 |
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