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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-10-13 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
800 E Colorado Blvd, Pasadena, CA 91101 • United States
Smithtown, NY • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | South Pasadena | CA | 10/2009 | Present |
| Bank Of America,N.A. | Glendale | CA | 06/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-04-05 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-28 |
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