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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2000-01-05 |
| CA | RA | APPROVED | 1998-07-07 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 09/1997 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 07/2011 | Present |
I*517350 For profit or not for profit: Entity Charitable Name of outside business organization: Childhelp Inc. Investment related: N Address of business: Phoenix, Arizona, 85018 Nature of business: ["Charitable Organization"] Position, title, association: ["Committee"], [["Fundraising committee"]] Start date of relationship:Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: , Help organize a golf tournament each year where all proceeds benefit the charity
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-28 |
| S66 | Uniform Combined State Law Examination | 1998-06-09 |
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