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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-08-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Newport Beach | CA | 07/1992 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 07/1992 | Present |
I*: 2947289 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Surprise, AZ 85378 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 10/1/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Activities would include, communication with renters on questions, improvements; very seldom working with vendors for repairs; paying the mortgage via online banking. .
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-08-08 |
| S65 | Uniform Investment Adviser Law Examination | 1997-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-18 |
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