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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-08-05 |
| CA | RA | APPROVED | 2020-03-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Eaton Partners, Llc | San Diego | CA | 09/2015 | 02/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 02/2020 | Present |
| Unemployed | San Diego | CA | 02/2018 | 07/2018 |
| Securrency Inc | San Diego | CA | 07/2018 | 05/2019 |
| Unemployed | San Diego | CA | 05/2019 | 01/2020 |
| Bank Of America, N.A. | San Diego | CA | 03/2020 | Present |
*2137279, Entity Type, Name of OBA: Life Science Cares San Diego Address: San DiegoCalifornia92130 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/02/2025No Hours: 1 monthly No Hours during trading: 1 monthly Duties: Board of Advisors - provide advice based on professional background and professional network. LSC San Diego is a foundation that receives grants from life science companies and distributes the funds to help with education and economic empowerment. My wife (A K) is Executive Director of LSC San Diego. There is a $3,500 commitment, payable to LSC San Diego, to be on the Board of Advisors. I*: 3028273 Entity Type: Charitable Name of OBA: SDMAC Foundation Address: San Diego, CA 92108 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/02/2026 Number of Hours: 2 hrs mthly Number of Hours during trading: 0 Duties: Board member - help promote organization and fundraise
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-01 |
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