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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2023-04-13 |
| TX | RA | APPROVED_RES | 2013-02-26 |
| CA | RA | APPROVED | 2011-10-11 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scottsdale | AZ | 09/2011 | Present |
| Bank Of America, N.A. | Scottsdale | AZ | 11/2011 | Present |
I*2930325Entity Type: Fiduciary roleName of OBA: M Family TrustAddress: Phoenix, Arizona, 85028Investment Related: NoPosition, Title, Association: Co-TrusteeEmployee Start Date: 09/30/2025Number of Hours: 1, YearlyNumber of Hours during trading: 1, YearlyDuties: Co-Trustee/ SpouseI*4358266Entity Type: Fiduciary roleName of OBA: D. S. M. IRAAddress: Scottsdale, Arizona, 85254Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 04/08/2026Number of Hours: 0Number of Hours during trading: 0Duties: Power of Attorney/Spouse I*4680375 Entity Type: N/A Name of OBA: MR J A M TTEE MRS D S M TTEE U/A DTD 09/11/2023 Address: Gilbert, Arizona, 85295 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 06/10/2026 Number of Hours: 0, Yearly Number of Hours during trading: 0, Yearly Duties: Self, Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 2008-02-11 |
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