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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2003-01-10 |
| CA | RA | APPROVED | 1999-07-06 |
Branch Locations
2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Los Angeles | CA | 07/2011 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 02/1999 | Present |
I*18763FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: R D. N, INC.INVESTMENT RELATED: NADDRESS OF BUSINESS:SANTA BARBARA, CALIFORNIA 93101NATURE OF BUSINESS: FAMILY BUSINESS,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 12:00:00 AMNUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: DIRECTOR
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-11 |
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