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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-02-21 |
| CA | 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 | Watsonville | CA | 10/2009 | Present |
| Bank Of America, N.A. | Monterey | CA | 12/2009 | Present |
I*80927FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: JACOB'S HEART CHILDREN'S CANCER SUPPORT SERVICESINVESTMENT RELATED: NADDRESS OF BUSINESS:FREEDOM, CALIFORNIA 95019NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: OTHER, BOARD MEMBERSTART DATE OF RELATIONSHIP: 5/6/2015NUMBER OF HOURS DEVOTED: 5 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: SUPPORT CHILDREN WITH CANCER THROUGH FINANCIAL SUPPORT WITH RESPECT TO FOOD, TRANSPORTATION AND SUPPORT.FINANCE COMMITTEE - REVIEW FINANCIALS, HELP DETERMINE DIRECTION AND SCOPE OF ORGANIZATION BASED UPON FUNDING. DEVELOPMENT - DETERMINE SCOPENUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: PROMOTE, SUPPORT, AND ENHANCE THE ARTISTIC, CULTURAL AND HISTORIC ENVIRONMENT OF HISTORIC DOWNTOWN MONTEREY, CALIFORNIA.I*1686430 Name of OBA: Rental Property 1Address: pacific grove, CA,93950 Investment Related: NO Position, Title, Association: Co-owner with other family members Employee Start Date:12/01/2023 No Hours: MonthlyNo Hours during trading: 0Duties:I*2641278, Entity Type: , Name of OBA: Rental Property 2, Address: Monterey, California, 93940, Investment Related: N, Position, Title, Association: Sole owner, Employee State Date: 07/21/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties:I*4280265Entity Type: N/AName of OBA: R L MAddress: Monterey, California, 93940Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/01/2026Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Spouse I*4680290 Entity Type: N/A Name of OBA: J M M TTEE U/A DTD 12/17/2014 BY J M M Address: Homewood, Illinois, 60430 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/09/2026 Number of Hours: 5, Monthly Number of Hours during trading: 2, Monthly Duties: Parents I*4680291 Entity Type: N/A Name of OBA: J M M TTEE U/A DTD 12/17/2014 BY J M M Address: Homewood, Illinois, 60430 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/09/2026 Number of Hours: 5, Monthly Number of Hours during trading: 2, Monthly Duties: Parents I*4683287 Entity Type: N/A Name of OBA: MLPF& S CUST FPO J M M IRA FBO J M M Address: Homewood, Illinois, 60430 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 06/09/2026 Number of Hours: 5, Monthly Number of Hours during trading: 2, Monthly Duties: Parents
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-08-13 |
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