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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-24 |
Branch Locations
301 Tresser Blvd Office Of Cao - Awl Local Markets Organization, Stamford, CT 06901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa | CA | 02/2001 | Present |
I*1961370, Name: Rental Property 1, Investment-related: No, Address: Kailua Kona, HI, 96740, Nature of the other business: Short Term Vacation Rental, Your position: sole owner, Start date: 09/01/2024, Approximate number of hours/month you devote to the other business, 120hrs/Annually, During securities trading hours, 0, Duties: Business owner of short term vacation rental in Hawaii.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-13 |
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