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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-04-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ontario | CA | 03/2012 | Present |
I*3210274, Entity Type Entity For Profit, Name of OBA: Ridge Estates HOA Address: Apple ValleyCalifornia92307 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 11/24/2025 No Hours: 2 monthly No Hours during trading: 0 Duties: It is just the board for our HOA's for our neighborhood. We will call property management to make repairs, help property management with deciding if yards/houses need any work, help homeowners turn in paperwork for changes on homes. Help with complaints from homeowners, help review security footage from guard shack if needed. It is just the board for our HOA's for our neighborhood. We will call property management to make repairs, help property management with deciding if yards/houses need any work, help homeowners turn in paperwork for changes on homes.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2026-06-04 |
| S65 | Uniform Investment Adviser Law Examination | 2026-04-27 |
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