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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-07-22 |
| NM | RA | APPROVED | 2002-10-10 |
| CA | RA | APPROVED | 2002-03-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Albuquerque | NM | 05/2011 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Albuquerque | NM | 08/2001 | Present |
I*1354251, Entity Type: Charitable, Name of OBA: St. Pius X Foundation Address: Albuquerque, NM 87120 Investment Related: No Position, Title, Association: Board Member, Officer Employee Start Date: 6/21/23 No Hours: 4 hrs monthly No Hours during trading: 1 Duties: The purpose of the Foundation is to support St. Pius X school through endowments. Will be a Director on the Board of Directors for the Foundation. As a director of the Board I do not have any day-to-day duties in managing the Foundation. As a Director we set strategy, approve budgets and strategic initiatives for the Foundation. The VP of Advancement at SPX School executes on Board Strategy and day-to-day operation of SPX Foundation. I*1200414, Entity Type: For Profit Name of OBA: Albuquerque Country Club, Address: Albuquerque, New Mexico, 87104, Investment Related: N, Position, Title, Association: Committee, Board Member, Officer, Employee State Date: 03/01/2023, No Hours: 3 Monthly, No Hours during Trading: 0 , Duties: Overseeing the management of the country club. I am now the Vice President of the Board of Directors, but do not have any day-to-day duties in managing the club. As part of the Board of Directors we set strategy, establish policies, by-laws, approve budgets and oversee the General Manager (GM). The GM functions as the CEO of the club and executes Board Strategy all staff and day-to-day management of the Club. As chair of the membership committee we review applications for new members and rules, & events for the members and make recommendations to the Board, the membership committee is purely advisory. Private Country Club
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-09-05 |
| S65 | Uniform Investment Adviser Law Examination | 1997-05-30 |
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