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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-08-16 |
| CA | RA | APPROVED | 2008-12-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch | San Jose | CA | 11/2008 | Present |
| Bank Of America,Na | San Jose | CA | 08/2009 | Present |
(1)I*27825 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GENERAL REAL ESTATE (SINGLE FAMILY) PARTNERSHIP-TX INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 1151 DENVER DR, CAMPBELL, CALIFORNIA 95008 NATURE OF BUSINESS: OTHER,PARTNERSHIP POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 41142 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: INVESTMENT WITH NO ACTIVE PARTICIPATION (2)I*27827 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY DUPLEX-CHIVALRY INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 1151 DENVER DR, CAMPBELL, CALIFORNIA 95008 NATURE OF BUSINESS: OTHER,OWNED WITH MY WIFE JOINTLY POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 37243 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: INVESTMENT WITH NO ACTIVE PARTICIPATION. (3)I*27826 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL DUPLEX-INGE INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 1151 DENVER DR., CAMPBELL, CALIFORNIA 95008 NATURE OF BUSINESS: OTHER,OWNED WITH WIFE JOINTLY POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 37957 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: INVESTMENT WITH NO ACTIVE PARTICIPATION. (4)I*27828 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY PARTNERSHIP-MANZANITA INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 1151 DENVER DR., CAMPBELL, CALIFORNIA 95008 NATURE OF BUSINESS: PARTNERSHIP,PARTNERSHIP POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 37396 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: INVESTMENT WITH NO ACTIVE PARTICIPATION. I*7530 For profit or not for profit: Name of outside business organization: Partnership Investment related: Address of business: Kansas City, Missouri 64138 Nature of business: , Position, title, association: , Start date of relationship: 1/4/2019 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: I*8048 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Kansas City, Missouri 64151 Nature of business: , Position, title, association: , Start date of relationship: 4/25/2019 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-26 |
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