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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2001-01-19 |
| WA | RA | APPROVED | 2000-09-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 11/1993 | Present |
| Bank Of America, N.A. | Seattle | WA | 05/2011 | Present |
I*126832 For profit or not for profit: For-Profit Organization Name of outside business organization: Lummi Island LLC Investment related: N Address of business: Lummi Island, Washington 98262 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 9/16/2019 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Lummi Island Woodlands LLC owns this rental property. I*126086 For profit or not for profit: For-Profit Organization Name of outside business organization: Lummi Island Woodlands LLC Investment related: N Address of business: Seattle, Washington 98121 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 8/29/2019 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: LLC for Rental property purchasing on 9/16/2019.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-24 |
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