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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-02-01 |
| CA | RA | APPROVED | 2017-12-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Gilbert | AZ | 09/2017 | Present |
| Northmarq Capital | Phoenix | AZ | 12/2011 | 09/2017 |
| Bank Of America, N.A. | Gilbert | AZ | 11/2017 | Present |
I*1140246 Entity Type: Rental Property Name of outside business organization: Rental Property 1 Investment related: No Address of business: Tempe, Arizona, 85282 Position, title, association: Sole owner, Start date of relationship: 2/1/2023 Number of hours devoted: 5 hrs annually Number of hours devoted during trading hours: 0 Duties: Sole owner of rental property I*: 2743292 Entity Type: Charitable Name of OBA: YMCA - Chandler/Gilbert Branch Address: Chandler, AZ 85224 Investment Related: No Position, Title, Association: Board member Employee Start Date: 10/15/2025Number of Hours: 4 hrs mthly Number of Hours during trading: 1 hr mthly Duties: 1) Meeting Attendance: Board Orientation; 80% of Board meetings and participate in annual Board Retreat; 80% of standing committee meetings 2) Attend at least two YMCA events per year 3) Commit to an annual "give and get" financial goal minimum of $1,500 of which a portion is personal giving 4) Act as an ambassador and advocate for VOS YMCA in the greater community 5) Make decisions on issues, policies, priorities, risk management, goals, and objectives based on careful consideration of the facts and relevant data I*3787269, Entity Type: Entity For Profit, Name of OBA: Hidden Tail Capital, LLC, Address: Cheyenne, Wyoming, 82001, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 02/20/2026, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties: maintain legal compliance, recordkeeping, Holding LLC for Arizona LLC that will hold rental property I*3787271, Entity Type: Entity For Profit, Name of OBA: 1933 C, LLC, Address: Las Vegas, Nevada, 89121, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 02/20/2026, No Hours: 5 Yearly, No Hours during Trading: 0 Yearly, Duties: maintain legal compliance, recordkeeping, Arizona LLC to own rental property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-20 |
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