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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-05-17 |
| CA | RA | APPROVED | 2015-08-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Brea | CA | 05/2015 | Present |
| Bank Of America, N.A. | Brea | CA | 07/2015 | Present |
I*116466For profit or not for profit: For-Profit OrganizationName of outside business organization: Perfectly Inc.Investment related: NAddress of business:Anaheim, California 92808Nature of business: Corporation,Position, title, association: Officer, Start date of relationship: 8/13/2018Number of hours devoted: 20 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Start up company that I will be an owner of but not working at. A partner will run the company with my husband. This is a retail/manufacturing pillow company with no relation to finance.I*513885For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Sugarloaf, California, 92386Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 8/5/2021Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I*1744284 Entity Type: Entity Charitable Name of OBA: Friends of Joshua Tree Address: Yucca Valley, California, 92284 Investment Related: No Position, Title, Association: Board Member,Officer Employee Start Date: 03/15/2024 Number of Hours: 5, Monthly Number of Hours during trading: 0, Monthly Duties: To promote access to and the preservation of climbing in Joshua Tree National Park I am on the board and have been asked to be the VP for the coming year. I will not be on any bank accounts and just mostly manage communications and group projects for the organization
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 2011-02-21 |
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