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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-09-20 |
| TX | RA | APPROVED | 2017-09-20 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
Corona, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Newport Beach | CA | 07/2013 | 09/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 09/2017 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 10/2017 | Present |
I*109178FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: NATIONAL JUNIOR BASKETBALLINVESTMENT RELATED: NADDRESS OF BUSINESS:IRVINE, CALIFORNIA 92606NATURE OF BUSINESS: CORPORATION,POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 9/5/2007NUMBER OF HOURS DEVOTED: 60 HRS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: IT IS A YOUTH BASKETBALL LEAGUE. I AM A REFEREE ON OCCASIONAL WEEKENDS. I*3786271 Entity Type: Charitable Name of OBA: Chrysalis Address: Los Angeles, California, 90013 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 02/09/2026 Number of Hours: 3, Monthly Number of Hours during trading: 0 Duties: Non profit addressing homelessness through job placement board member
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-29 |
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