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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-10-16 |
| CA | RA | APPROVED | 2018-11-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | El Segundo | CA | 09/2019 | Present |
| John A. Neu Insurance Services, Inc. | Rolling Hills Estates | CA | 03/2012 | 03/2018 |
| Unemployed | Torrance | CA | 03/2018 | 08/2018 |
| Bank Of America, N.A. | El Segundo | CA | 09/2019 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | El Segundo | CA | 08/2018 | 09/2019 |
I*117217 For profit or not for profit: For-Profit Organization Name of outside business organization: CreateSpace (Kindle Direct Publishing) Investment related: N Address of business: California 99999 Nature of business: Family Business, Position, title, association: Family Held, Start date of relationship: 42736 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: My mother, wrote a book about five years ago. She self-published the book on CreateSpace (Kindle Direct Publishing). My mother passed away so the royalties now come directly into my bank account.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-21 |
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