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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2014-08-15 |
| TX | RA | APPROVED | 2014-08-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 08/2014 | Present |
| Bank Of America, N.A. | San Diego | CA | 09/2014 | Present |
I*74838FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CHISWICK LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:ST. LOUIS, MISSOURI 63117NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1987NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: RENTAL PROPERTY OWNERSHIP. THE DATE OF OWNERSHIP IS ESTIMATED. I*74840FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: SAND BOX LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:ST. LOUIS, MISSOURI 63105NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/1997NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER OF RENTAL PROPERTY. THE PUCHASE DATE IS AN ESTIMATE. I*74842FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RMS NORTHWOODINVESTMENT RELATED: YADDRESS OF BUSINESS:ST. LOUIS, MISSOURI 63105NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/2007NUMBER OF HOURS DEVOTED: 1 HOUR(S) QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: OWNER OF RENTAL PROPERTY (50%). THE DATE OF OWNERSHIP IS AN ESTIMATE. I*547365For profit or not for profit: Entity For ProfitName of outside business organization: AES NorthwoodInvestment related: NAddress of business: La Jolla, California, 92037Nature of business: ["Corporation"]Position, title, association: ["Owner"], Start date of relationship: 11/1/2021Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , This LLC owns 50% of an apartment building that I recently purchased from my sister. OBA ID: 1604290OBA Name: Cold SnapLocation: Billerica, MAInvestment Related Activity: NoRole: OtherState Date: 12/04/2023Time Related Commitment: YearlyTime Related During Work Hours: 0 Duties: To provide machine to create smoothies and soft ice cream in minutes. I*2256271, Entity Type: , Name of OBA: R M S TTEE U/A DTD 11/21/2002 BY J W, Address: Englewood, Ohio, 45322, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 25-Mar-2025, No Hours: 4 Monthly, No Hours during Trading: 1 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-01-04 |
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