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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-05-05 |
| TX | RA | APPROVED_RES | 2022-05-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bancwest Investment Services | Tucson | AZ | 01/2016 | 05/2022 |
| Bank Of The West | Tucson | AZ | 01/2016 | 05/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 05/2022 | Present |
| Bank Of America, N.A. | Tucson | AZ | 05/2022 | Present |
I*845247 For profit or not for profit: Entity Charitable Name of outside business organization: Reid Park Zoo Foundation Investment related: No Address of business: Tucson, Arizona, 85716 Position, title, association: Board Member, Officer, Director Start date of relationship: 7/1/2022 Number of hours devoted: 2 hours Monthly Number of hours devoted during trading hours: 1 hr mthly Duties: A non-profit organization advocating for zoo programs in the Tucson, AZ community and supports the Reid Park Zoo. I*844271 For profit or not for profit: Entity Charitable Name of outside business organization: Reid Park Zoological Society Investment related: N Address of business: Tucson, Arizona, 85716 Position, title, association: Board Member Start date of relationship: 7/1/2020 Number of hours devoted: 1 hr Mthly Number of hours devoted during trading hours: 1 hr mthly Duties: A non-profit organization advocating for zoo programs in the Tucson, AZ community supporting Reid Park Zoo. No access to Society's organizational funds. I*845249 For profit or not for profit: Entity For Profit Name of outside business organization: Desert Automotive, LLC Investment related: No Address of business: Sierra Vista, Arizona, 85650 Position, title, association: Director Start date of relationship: 1/1/2010 Number of hours devoted: 0 Number of hours devoted during trading hours: 0 Duties: Signer on family member's business account. Was added to this account at inception in approximate year 2010. Purpose was to have a back-up family member have access to funds in the event of premature death or other need. I*1276422 For profit or not for profit: Entity Charitable Name of outside business organization: Step Up To Justice Investment related: N Address of business: Tucson, Arizona, 85745 Position, title, association: Board Member Start date of relationship: 5/8/2023 Number of hours devoted: 3 hours Monthly Number of hours devoted during trading hours: 0 Duties: Ascribe and promote the mission of Step Up To Justice. The Mission of Step up to Justice is, " Step up to Justice is a Pro Bono Law Center advancing civil justice for low-income individuals and families in Pima County, AZ. As a Board Member respond to board communications, attend board meetings. 3). As a board member participate in philanthropy through marketing promotions, cultivating and solidifying donor relationships through Step Up To Justice relationships already established with Step Up to Justice. Attend fundraising events benefiting Step Up to Justice representing as a Board Member. 4). Participate in Step Up to Justice work groups as needed. Attend volunteer recognition events as a Board Member.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-04 |
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