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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2004-10-22 |
| TX | RA | APPROVED_RES | 1999-07-30 |
Branch Locations
3500 E Sunrise Dr, Tucson, AZ 85718 • United States
Tucson, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch Pierce Fenner & Smith | Tuscan | AZ | 09/1996 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 09/1996 | Present |
| Bank Of America,Na | Tucson | AZ | 11/2009 | Present |
I*900242 For profit or not for profit: Name of outside business organization: Palo Verde Ranch Homeowners Association Investment related: N Address of business: tucson, Arizona, 85749, United States Nature of business: ["HOA, Co-op, Freehold"] Position, title, association: ["Officer"], Start date of relationship: 10/1/2023 Number of hours devoted: 4 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Homeowners association. Board president. Responsibilities are to set 1/4ly meetings and oversee them. Additionally, coordinate with neighborhood watch association and interact with the architectural review committee.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-01-16 |
| S65 | Uniform Investment Adviser Law Examination | 1997-01-16 |
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