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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-07-15 |
| CA | RA | APPROVED | 2003-12-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Napa | CA | 09/2003 | Present |
| Bank Of America, N.A. | Napa | CA | 08/2009 | Present |
I*547346 Entity Type; Rental Property Name of outside business organization: Rental Property 1 Investment related: No Address of business: Reno, Nevada, 89521 Position, title, association: Co-owner with other family members Start date of relationship: 10/19/2021 Number of hours devoted: 1.5 hour(s) Monthly Number of hours devoted during trading hours: 0.5 Duties: Co owner with other family members/rental property I*1162280 Entity Type: Rental Property Name of outside business organization: Rental Property 2 Investment related: No Address of business: Bozeman, Montana, 59718 Position, title, association: Co-owner with other family members, Start date of relationship: 2/17/2023 Number of hours devoted: 3 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: Co owner with other family members/rental property I*4380266 Entity Type: Fiduciary role Name of OBA: C. J V. Address: SAINT HELENA, California, 94574 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 04/13/2026 Number of Hours: 5, Yearly Number of Hours during trading: 1, Yearly Duties: Power of Attorney/Parents I*4380265 Entity Type: Fiduciary role Name of OBA: C. J V. 2002 TRUST Address: SAINT HELENA, California, 94574 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 04/13/2026 Number of Hours: 5, Yearly Number of Hours during trading: 1, Yearly Duties: Co-Trustee/Parents
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-11 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-17 |
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