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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-04-23 |
| CA | RA | APPROVED | 2019-05-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets, Inc. | Irvine | CA | 05/2012 | 03/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Irvine | CA | 03/2019 | Present |
| Bank Of America, N.A. | Irvine | CA | 04/2019 | Present |
I*7911 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Westminster, California 92683 Nature of business: , Position, title, association: , Start date of relationship: 6/15/2012 Number of hours devoted: 8 hour(s) Number of hours devoted during trading hours: 0 Duties: I*136346 For profit or not for profit: For-Profit Organization Name of outside business organization: Grand Marshal Knox Investment related: N Address of business: Costa Mesa, California 92626 Nature of business: Sole Proprietorship, Position, title, association: Part-Time, Start date of relationship: 4/15/2021 Number of hours devoted: 120 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Motorsports training assistant.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-05-02 |
| S66 | Uniform Combined State Law Examination | 2002-10-26 |
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