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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-21 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
2 S Beaver St, Flagstaff, AZ 86001 • United States
1030 Willow Creek Rd, Prescott, AZ 86301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Flagstaff | AZ | 10/2009 | Present |
| Bank Of America, N.A. | Flagstaff | AZ | 07/2011 | Present |
I*947307, Name of OBA: Rental Property 1 Address: Tucson, AZ Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 8/8/ No Hours: 1 Monthly No Hours during trading: 0 Duties: I*1288257 Entity Type: For Profit Name of outside business organization: Stress Management LLCInvestment related: NAddress of business: Flagstaff, Arizona, 86001 Position, title, association: General Partner/Managing Member Start date of relationship: 5/8/2023 Number of hours devoted: 1 hour Monthly Number of hours devoted during trading hours: 0 Duties: I will be the managing partner of the LLC. The purpose of the LLC is for potential liability. This is a houseboat on Lake Powell that I have a 2/3 interest in the other 1/3 interest is a non client. I*3663293, Entity Type: Fiduciary role Name of OBA: M Lightfoot, Address: Tucson, Arizona, 85742, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 02/01/2026, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties: I*3673273, Entity Type: Fiduciary role Name of OBA: D L, Address: Tucson, Arizona, 85742, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 02/01/2026, No Hours: 5 Yearly, No Hours during Trading: 1 Yearly, Duties: I*4052271, Entity Type: Fiduciary role Name of OBA: T H TTEE N H TTEE U/A DTD 06/09/2022 , Address: Flagstaff, Arizona, 86001, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 03/16/2026, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: I*4354270Entity Type: Fiduciary roleName of OBA: MLPF& S CUST FPO M. F. L. IRRA FBO M. F. L.Address: Flagstaff, Arizona, 86001Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 12, YearlyNumber of Hours during trading: 0Duties: Power of Attorney/Parents I*4354272Entity Type: Fiduciary roleName of OBA: MLPF& S CUST FPO D. K L. IRA FBO D. K .L.Address: Flagstaff, Arizona, 86001Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 12, YearlyNumber of Hours during trading: 0Duties: Power of Attorney/Parents I*4354273Entity Type: Fiduciary roleName of OBA: D. K L. TTEE M. F L. TTEE U/A DTD 06/10/2011Address: Flagstaff, Arizona, 86001Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/30/2026Number of Hours: 12, YearlyNumber of Hours during trading: 0Duties: Power of Attorney/Parents I*4354274, Entity Type: , Name of OBA: D K L TTEE M F L TTEE U/A DTD 06/10/2011 , Address: Flagstaff, Arizona, 86001, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/30/2026, No Hours: 12 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-19 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-14 |
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