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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2007-08-10 |
Branch Locations
2 disclosure categories 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 | Fresno | CA | 08/2007 | Present |
| Bank Of America, Na | Fresno | CA | 09/2009 | Present |
I*495111 For profit or not for profit: Name of outside business organization: Rental Property Investment related: N Address of business: Fresno, California, 93701 Nature of business: Position, title, association: Sole owner, Start date of relationship: 10/19/2016 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1204347 For profit or not for profit: Entity For Profit Name of outside business organization: Paragon and Associates Investment Trust Investment related: N Address of business: Fresno, California, 93701 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 3/20/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , To buy, sell and hold rental properties. I*1217260 For profit or not for profit: Entity For Profit Name of outside business organization: Paragon and Associates Investment Trust Investment related: N Address of business: Fresno, California, 93701 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 3/17/2023 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Real estate investment. I am the sole trustee of the trust.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-12-17 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-17 |
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