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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-07-20
CA RA APPROVED 2016-07-18
  • TX RA
    APPROVED
    Since 2016-07-20
  • CA RA
    APPROVED
    Since 2016-07-18

Branch Locations

Scottsdale, AZ • United States

2555 E Camelback Rd, Phoenix, AZ 85016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 11/2015 Present
Bank Of America, N.A. San Francisco CA 10/2018 Present
Other Businesses

I*1136264For profit or not for profit: Entity For ProfitName of outside business organization: A-Squared Capital Management LLCInvestment related: NAddress of business: Scottsdale, Arizona, 85251Nature of business: ["Limited Liability Company"]Position, title, association: ["General Partner/Managing Member","Owner"], Start date of relationship: 9/30/2023Number of hours devoted: 10 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Purchase of investment real estate. Expected responsibilities: ManagementI* 1686470Name of OBA:BOOKMARK HEALTH LLC Address: Scottsdale, AZ, 85251Investment Related: NOPosition, Title, Association: General Partner/Managing MemberEmployee Start Date: 26-Dec-2023No Hours: MONTHLYNo Hours during trading:0 Duties: HOLDING COMPANY FOR REAL ESTATE PURCHASE. NO RESPONSIBILITIES I* 1686470 For profit or not for profit: Entity For Profit Name of outside business organization: BOOKMARK HEALTH LLC Investment related: no Address of business: Scottsdale, AZ, 85251 Nature of business: Limited Liability Company Position, title, association: General Partner/Managing Member Start date of relationship: 12/26/2023 Number of hours devoted: 2 monthly Number of hours devoted during trading hours: 0 Duties: HOLDING COMPANY FOR RESIDENTIAL REAL ESTATE PURCHASE. THE ENTITY HAS BEEN FORMED BUT IT IS YET TO HOLD REAL ESTATE. THE ONLY INCOME GENERATED WILL BE FROM RENTS COLLECTED. I HAVE NO RESPONSIBILITIES HERE AS THERE IS A 3RD PARTY PROPERTY MANAGEMENT THAT MANAGES THE PROPERTY. THE LLC SOLEY EXISTS AS A HOLDING COMPANY. THERE ARE NO EMPLOYESS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-15
  • S66 Uniform Combined State Law Examination
    2016-07-15

View on SEC IAPD

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