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555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-01 |
| CA | RA | APPROVED | 2020-12-08 |
Branch Locations
555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States
400 Park Avenue, 8Th Floor, New York, NY 10022 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 02/2010 | 11/2020 |
| City National Securities, Inc. | New York | NY | 11/2020 | Present |
I*126775 For profit or not for profit: Non-Profit Organization Name of outside business organization: Cradles to Crayons Investment related: N Address of business: Nature of business: Charitable Organization, Compensation for Activity: N Position, title, association: Advisory Board Member, Start date of relationship: 9/3/2019 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Founder's Council - helping to bring this organization to NYC. They have locations in Boston, Philadelphia and Chicago.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-08 |
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