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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-05-27 |
| TX | RA | APPROVED | 2021-05-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Adp Broker-Dealer, Inc. | Las Vegas | NV | 08/2014 | 04/2017 |
| Adp Inc. | Las Vegas | NV | 08/2014 | 04/2017 |
| N/A | Las Vegas | NV | 05/2017 | 09/2017 |
| Reliant Retirement Services | Las Vegas | NV | 10/2017 | 02/2018 |
| Bancwest Investment Services | Pasadena | CA | 03/2018 | 05/2021 |
| Bank Of The West | Pasadena | CA | 03/2018 | 05/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pasadena | CA | 05/2021 | Present |
| Bank Of America, N.A. | Pasadena | CA | 06/2021 | Present |
I*1020474 For profit or not for profit: Entity For Profit Name of outside business organization: The F Words Of Sales Investment related: N Address of business: Las Vegas, Nevada Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 11/1/2022 Number of hours devoted: 4 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , This is an entity to represent my interests in the book I am writing *1204300 For profit or not for profit: Entity For Profit Name of outside business organization: Sweet Tequilas Investment related: N Address of business: Pasadena, California, 91101 Nature of business: ["Sole Proprietorship"] Position, title, association: ["Owner"], Start date of relationship: 4/1/2023 Number of hours devoted: 5 hour(s) Weekly Number of hours devoted during trading hours: 1 Duties: , Manufacturing, marketing and distributing post-distilled alcoholic beverages. My responsibilities will include formulation of product, start-up logistics and contributing to marketing ideas. I*1377259 For profit or not for profit: Entity For Profit Name of outside business organization: Sweet Tequilas Investment related: N Address of business: Pasadena, California, 91101, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["Officer"], Start date of relationship: 8/1/2023 Number of hours devoted: 5 hour(s) Weekly Number of hours devoted during trading hours: 1 Duties: , My role and responsibilities may be reduced to mainly start-up logistics, flavor formulation and marketing ideas for post-distilled alcoholic beverages.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-04-19 |
| S66 | Uniform Combined State Law Examination | 2013-04-08 |
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