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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-21 |
| CA | RA | APPROVED | 2024-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Alamogordo | NM | 08/2015 | 11/2016 |
| Wells Fargo Bank, Na | Alamogordo | NM | 08/2013 | 11/2021 |
| Wells Fargo Clearing Services, Llc | Alamogordo | NM | 11/2016 | 11/2021 |
| U.S. Bancorp Investments, Inc. | Las Cruces | NM | 11/2021 | 06/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 06/2024 | Present |
| Liberty University | Lynchburg | VA | 06/2020 | 07/2021 |
| Bank Of America, N.A. | Tucson | AZ | 07/2024 | Present |
I*3012292, Entity Type: Entity Charitable, Name of OBA: Junior Achievement of Arizona, Address: Tucson, Arizona, 85711, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 11/01/2025, No Hours: 12 Yearly, No Hours during Trading: 12 Yearly, Duties: The board meets every other month for 90 minutes. The term of a board member typically lasts 3 years. We are a 501(c)(3) not-for-profit organization wholly dependent on the financial and volunteer support of individuals, foundations, and businesses. Our in-classroom programs are offered at no cost to teachers or students. I*3755361 Entity Type: Entity For Profit Name of OBA: SC Ranch Community Association Address: Marana, Arizona, 85653 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 03/01/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Homeowner's Association Board. Board meets quarterly. May require 1 hour per month outside of business hours. Responsibilities involve waiving fees/penalties for residents and how community funds may be allocated (landscaping contract, etc.).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 2015-09-16 |
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