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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2005-08-05 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 07/1996 | Present |
| Bank Of America, N.A. | Los Angeles | CA | 09/2009 | Present |
I*126527 Entity Type: Non-Profit Organization Name: The Los Angeles World Affairs Council & Town Hall Investment related: No Address: Los Angeles, California 90266 Position, title, association: Committee Member, Start date of relationship: 9/20/2019 Number of hours devoted: 2 hours Monthly Number of hours devoted during trading hours: 1 hr mthly Duties: New Committee Assignment as Board Member. Duties, I am told, are policy and oversight, I*2137257, Entity Type: Charitable, Name: Orange County World Affairs Council Address: Irvine, California92612 Investment Related: No Position, Title, Association: Board Member Employee Start Date:12/23/2024 No Hours: 4 monthly No Hours during trading: 0 Duties: General Duties, Non-Profit Board Member I*: 2674305 Entity Type: Fiduciary role Name of OBA: A.B. A. Address: Manhattan Beach, CA 90266 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 07/31/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Power of Attorney for Child/Grandchild I*: 2675284 Entity Type: Fiduciary role Name of OBA: I. L. A. Address: Manhattan Beach, CA 90266 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 07/31/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Power of Attorney for Child/Grandchild
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-11-04 |
| S65 | Uniform Investment Adviser Law Examination | 1996-11-04 |
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