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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-08-09 |
Branch Locations
800 E Colorado Blvd, Pasadena, CA 91101 • United States
3075 Hansen Way, Palo Alto, CA 94304 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank | San Francisco | CA | 12/2016 | 08/2022 |
| Wells Fargo Bank | San Francisco | CA | 08/2013 | 11/2016 |
| Wells Fargo Clearing Services Llc | San Francisco | CA | 12/2016 | 08/2022 |
| Citigroup | San Francisco | CA | 08/2022 | 07/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Palo Alto | CA | 07/2024 | Present |
I*1926300 Name of the other business: Saint Francis Foundation Whether the business is investment-relatedNO Address of the other businessSan Francisco, California 94104 Nature of the other businessCharity Your positionChair of the board of directors Title, or relationship with the other businessChair of the board of directors Start date of your relationshipSeptember 2019 Approximate number of hours/month you devote to the other businessOn average the commitment is about an hour per week Number of hours you devote to the other business during securities trading hoursMeetings typically occur after trading hours Briefly describe your duties relating to the other businessThe nature of my duties is typical of a board member of a charity. The board of directors monitors the operation of the charity to ensure it is fulfilling its charitable mission; approves grants; aids in fund-raising; and oversees the staff which does the foundation's day-to-day work. As chair of the board I lead board meetings and meet periodically with the president of the foundation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-01 |
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