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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-01-07 |
| CA | RA | APPROVED | 2020-12-02 |
Branch Locations
1331 N California Blvd, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Walnut Creek | CA | 09/2020 | Present |
| Opex Advisors Business | Danville | CA | 09/2015 | 09/2020 |
| Bank Of America, N.A. | Walnut Creek | CA | 11/2020 | Present |
I*10073For profit or not for profit: Name of outside business organization: 3164 G AvenueInvestment related: Address of business:Costa Mesa, California 92626Nature of business: ,Position, title, association: , Start date of relationship: 3/27/2002 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0Duties: I*2929338, Entity Type: , Name of OBA: J H, Address: Novato, California, 94947, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 06/30/2023, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-01 |
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