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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-09-25 |
| CA | RA | APPROVED | 2013-06-03 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Ana | CA | 05/2013 | Present |
| Bank Of America, N.A. | Santa Ana | CA | 08/2013 | Present |
I*133723For profit or not for profit: For-Profit OrganizationName of outside business organization: Book Title TBDInvestment related: NAddress of business:Mission Viejo, California 92690Nature of business: Other,Book PublishingPosition, title, association: Other, AuthorStart date of relationship: 12/8/2020Number of hours devoted: 12 hour(s) AnnuallyNumber of hours devoted during trading hours: 0Duties: There are no responsibilities. I wrote a book and am going to get it published. I am self-publishing through Amazon by using their BookBaby partner. The book is not related to finance. I*2167280, Entity Type Not for profit, Name of OBA: Sin Nombre Address: San Clemente, CA 92673 Investment Related: No Position, Title, Association: Member Employee Start Date: 1-18-2025 No Hours: 1.5 monthly No Hours during trading: 1.5 monthly Duties: Business networking group
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-08-05 |
| S65 | Uniform Investment Adviser Law Examination | 2010-02-25 |
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