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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-11-30 |
| CA | RA | APPROVED | 2009-04-02 |
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 Monica | CA | 03/2009 | Present |
| Bank Of America, N.A. | Santa Monica | CA | 09/2009 | Present |
I*9320 For profit or not for profit: Name of outside business organization: t kornguth Investment related: Address of business: beverly hills, California 90211 Nature of business: , Position, title, association: , Start date of relationship: 2/25/2020 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-04 |
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