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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2013-03-21 |
| CA | RA | APPROVED | 2012-07-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 11/1991 | Present |
CAPRICORN SERVICE, 125 LARKSPUR ST, SUITE 103, SAN RAFAEL, CA 94901; START DATE: 11/22/2011; NON-INVESTMENT RELATED; 0 HOURS SPENT; HUSBANDS BUSINESS, AUTHORIZED CHECK SIGNER ON BUSINESS CKING ACCOUNT. I*2034301, Entity Type, Name of OBA: Rental Property 1, Address: Hercules, CA, 94547, Investment Related: No, Position, Title, Association: Co-owner with other family members, Employee Start Date: 11/01/2024, No Hours: 0, No Hours during trading: 0, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-05 |
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