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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-13 |
| CA | RA | APPROVED | 2019-10-11 |
Branch Locations
23655 N Scottsdale Rd, Scottsdale, AZ 85255 • United States
14636 N Scottsdale Rd, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bank | Phoenix | AZ | 04/2013 | 10/2019 |
| U.S. Bancorp Investments, Inc. | Phoenix | AZ | 10/2013 | 10/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scottsdale | AZ | 10/2019 | Present |
| Bank Of America, N.A. | Scottsdale | AZ | 10/2019 | Present |
I*136892 For profit or not for profit: Non-Profit Organization Name of outside business organization: Baller Dream Foundation Investment related: N Address of business: Scottsdale, Arizona 85251 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 10/15/2020 Number of hours devoted: 40 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Founder. Raise awareness and donations for the non-profit's mission.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-20 |
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