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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-03-22 |
| CA | RA | APPROVED | 2009-10-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ontario | CA | 11/2008 | Present |
| Bank Of America, N.A. | Ontario | CA | 12/2009 | Present |
I*4171267, Entity Type: Entity For Profit, Name of OBA: SAWDUST WOODWORK & DESIGN CO., Address: RIVERSIDE, California, 92504, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee Start Date: 03/27/2026, No Hours: 10 Weekly, No Hours during Trading: 0 Weekly, Duties: I MAKE THE CUTTINGBORDS...MY WIFE DOES EVERYTHING ELSE. THE PURPOSE IS TO SELL CUTTINGBOARDS THAT I MAKE. I*4748277, Entity Type: Entity Charitable, Name of OBA: RIVERSIDE ELKS LODGE #643, Address: RIVERSIDE, California, 92506, Investment Related: N, Position, Title, Association: ["Committee","Director"], Employee Start Date: 06/22/2026, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: ASSIST WITH CALENDERING AND GETTING PEOPLE TO COME TO FUNDRAISERS. HELP WITH SET UP ON DAY OF EVENTS. USE LOCAL PRINTER TO CREATE TICKETS AND FLYERS. THE RIVERSIDE ELKS LODGE GOLF CLUB COMMITTEE MEMBERS ORGANIZE MONTHLY GOLF OUTINGS FOR MEMBERS. WE ALSO HAVE FUNDRAISERS FOR VARIOUS CHARITIES AND FOR MAINTENANCE OF THE LODGE. FUNDRAISERS INCLUDE DINNERS, GOLF TOURNAMENTS, RAFFLES AND BUS TRIPS. I*4748279, Entity Type: , Name of OBA: KNIGHTS OF COLUMBUS, #4973, Address: JURUPA VALLEY, California, 91752, Investment Related: N, Position, Title, Association: , Employee Start Date: 06/22/2026, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: ATTEND MONTHLY MEMBER MEETINGS. HELP WITH SETTING UP FOR EVENTS THE DAY OF. ASSIST WITH VARIOUS CHURCH EVENTS AND DINNERS CATHOLIC FRATERNAL SERVICE ORGANIZATION DEDICATED TO CHARITY, FRATERNITY, AND PATRIOTISM. THE ORGANIZATION SUPPORTS LOCAL COMMUNITIES THROUGH CHARITIBLE FUNDRAISING AND VOLUNTEER SERVICE I*4745318, Entity Type: , Name of OBA: GREATER RIVERSIDE CHAMBER OF COMMERCE, Address: RIVERSIDE, California, 92501, Investment Related: N, Position, Title, Association: ["Committee"], Employee Start Date: 01/01/2026, No Hours: 4 Weekly, No Hours during Trading: 0 Weekly, Duties: HELP SET UP MEETING AT VARIOUS LOCATIONS. ATTEND GRAND OPENINGS AND HELP WITH PARKING, EVENT SET UP, ETC. ASSIST WITH QUESTIONS OR NEEDS NEW MEMBERS HAVE. AMBASSADOR FOR THE CHAMBER. HELP WITH GRQND OPENINGS AND MONTHLY MEETINGS. ASSIST NEW MEMBERS AT CHAMBER MEETINGS WITH QUESTIONS ABOUT THE CHAMBER. I USE THE CHAMBER AS A NETWORKING GROUP.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-03 |
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