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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2015-08-12 |
| TX | RA | APPROVED | 2014-10-29 |
| NJ | RA | APPROVED | 2014-09-16 |
Branch Locations
1211 Sw 5Th Ave, Portland, OR 97204 • United States
Manzanita, OR • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Portland | OR | 08/2014 | Present |
| Bank Of America, N.A. | Portland | OR | 11/2014 | Present |
I*1143267For profit or not for profit: Name of outside business organization: Glenneslin Homeowners AssociationInvestment related: NAddress of business:Manzanita, Oregon 97130Nature of business: HOA, Co-op, Freehold,Position, title, association: Treasurer, Board Member, Start date of relationship: 1/10/2023Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Board member; to help operate the homeowners association I*2930322 Entity Type: N/A Name of OBA: Riverstone Condominium HOA Board Address: Portland, Oregon Investment Related: No Position, Title, Association: Treasurer,Board Member Employee Start Date: 01/01/2025 Number of Hours: 30, Monthly Number of Hours during trading: 6, Monthly Duties: Homeowners Association Treasurer -- review financials, approve payments (but no authority to write checks or withdraw funds)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-29 |
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