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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-02-24 |
| TX | RA | APPROVED | 2012-08-31 |
| CA | RA | APPROVED | 2012-08-24 |
Branch Locations
1331 N California Blvd, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Walnut Creek | CA | 08/2012 | Present |
| Bank Of America N.A. | Walnut Creek | CA | 10/2012 | Present |
I*1492259For profit or not for profit: Entity For ProfitName of outside business organization: GROWTHMODE LLCInvestment related: YAddress of business: Seattle, Washington, 98122, United StatesNature of business: ["Limited Liability Company"]Position, title, association: ["Other"], Start date of relationship: 1/1/2024Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Family Held, Family LLC to hold investments and make donations I*1844341, Entity Type, Name of OBA:Rental Property 1 Address:Quincy, WA 98848 Investment Related:No Position, Title, Association:Co-owner with other family members Employee Start Date:05/22/2024 No Hours: 2 hr yearly No Hours during trading: Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 2007-06-01 |
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