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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-06-28 |
| CA | RA | APPROVED | 2006-11-28 |
Branch Locations
500 Newport Ctr Dr, Newport Beach, CA 92660 • United States
620 S Tryon St, Charlotte, NC 28255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 07/2000 | Present |
I*114873For profit or not for profit: For-Profit OrganizationName of outside business organization: Wags Instant Fantasy Sports IncInvestment related: NAddress of business:Corona Del Mar, California 92625Nature of business: Corporation,Position, title, association: General Partner, Start date of relationship: 6/29/2018Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Developing a "fantasy sports" application. I am sole owner, but contracting a tech developer to build out my idea. It will be a game sold as an app on smart phones if successfully built I*4069265, Entity Type: , Name of OBA: MR M W TTEE S W TTEE U/A DTD 11/08/2002 , Address: corona del mar, California, 92625, Investment Related: N, Position, Title, Association: Co-Trustee, Employee Start Date: 03/17/2026, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2008-07-11 |
| S65 | Uniform Investment Adviser Law Examination | 2001-02-27 |
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