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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-03-28 |
| CA | RA | APPROVED | 2017-01-10 |
Branch Locations
3255 W March Ln, Stockton, CA 95219 • United States
Elk Grove, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sacramento | CA | 11/2016 | 01/2024 |
| Newport Group | Folsom | CA | 05/2016 | 11/2016 |
| Bank Of America, N.A. | Sacramento | CA | 02/2017 | 01/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Stockton | CA | 01/2024 | Present |
| Bank Of America, N.A. | Stockton | CA | 01/2024 | Present |
I*100562FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: PROPERTY RENTALINVESTMENT RELATED: NADDRESS OF BUSINESS: ATLANTA, GEORGIA 30331NATURE OF BUSINESS: OTHER, RENT RECEIVED FOR PROPERTY/ MAINTAIN PROPERTYPOSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 42675NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RECEIVE RENT FOR OWNED PROPERTY I*1152273For profit or not for profit: Entity For ProfitName of outside business organization: LyftInvestment related: NAddress of business: San Francisco, California, 94107Nature of business: ["Cooperative"]Position, title, association: ["Consultant/Independent Contractor"], Start date of relationship: 1/21/2023Number of hours devoted: 8 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , ride-sharing I*2470278, Entity Type: Entity Charitable, Name of OBA: Sacramento Ronald McDonald House, Address: Sacramento, California, 95817, Investment Related: N, Position, Title, Association: Committee, Employee State Date: 06/01/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Review the organization's procedures for reporting
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-01-09 |
| S65 | Uniform Investment Adviser Law Examination | 2013-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-01-16 |
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