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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-04-26 |
| TX | RA | APPROVED | 2023-04-25 |
Branch Locations
345 California Street, San Francisco, CA 94104-2642 • United States
San Anselmo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 10/2009 | 09/2020 |
| Bank Of America,N.A. | San Francisco | CA | 06/2011 | 09/2020 |
| First Republic Securities Company, Llc | San Francisco | CA | 09/2020 | 04/2023 |
| First Republic Investment Management, Inc. | San Francisco | CA | 09/2020 | 04/2023 |
| Rbc Capital Markets, Llc | San Francisco | CA | 04/2023 | Present |
| City National Bank | San Francisco | CA | 05/2023 | 12/2023 |
1)J. LEE ROY'S DIPPIN SAUCE, 2415 5TH AVE.,OROVILLE, CA 95966; BBQ SAUCE MFG, PARTNER; START DATE: 05/2008; 10 HOURS PER MONTH ALL DURING NON-SECURITY HOURS; 2) Name of Entity: J. Lee Roy's, Inc. Non-Investment related Address of Entity: PO BOX 5728 Oroville, CA 95966 Nature of OBA: BBQ Sauce and Seasonings Position/Title/Relationship: Owner - Passive Projected start date: 11/01/07 Time devoted: 1 hour; 0 during securities trading hours Duties: None 3) Name of Entity: Stapleton School for the Performing Arts Non-Investment related Address of Entity: 70 Greenfield Ave., San Anselmo, CA 94960 Nature of OBA: Stapleton School of the Performing Arts is Marin County's hub for inclusive dance and theatre educat Position/Title/Relationship: Board of Directors * Projected start date: 03/01/23 Time devoted: 1 hour; 0 during securities trading hours Duties: executive oversight
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-05-01 |
| S65 | Uniform Investment Adviser Law Examination | 1998-05-01 |
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