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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2012-03-22 |
| WA | RA | APPROVED | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 10/2009 | Present |
| Bank Of America, N.A. | Seattle | WA | 06/2011 | Present |
I*111103 For profit or not for profit: Non-Profit Organization Name of outside business organization: Washington Wine Institute Foundation Investment related: N Address of business: Cashmere, Washington 98815 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 12/19/2017 Number of hours devoted: 3 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: General Board Member I* 1836262 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: no Address of business: Seattle, WA, 98115 Nature of business: Position, title, association: Co-owner with other family members Start date of relationship: 06/01/2024 Number of hours devoted: 1 monthly Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-03 |
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