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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-11-02 |
| TX | RA | APPROVED | 2020-11-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 04/2011 | 08/2020 |
| J.P. Morgan Securities Llc | Laguna Niguel | CA | 08/2020 | Present |
| Bank Of America | Los Angeles | CA | 03/2003 | 08/2020 |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-06-30 |
| S65 | Uniform Investment Adviser Law Examination | 2003-05-27 |
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