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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-01-28 |
| CA | RA | APPROVED | 2015-12-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Oakland | CA | 11/2015 | Present |
| Bank Of America, N.A. | Oakland | CA | 01/2016 | Present |
I*105803 For profit or not for profit: Non-Profit Organization Name of outside business organization: St. Anne of the Sunset Church Investment related: N Address of business: San Francisco, California 94122 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 4/19/2017 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Discuss whether or not to undertake capital projects as well as consider steps to lower costs and increase revenue such as: -Putting a new restroom in the church -Decide if we need to paint the church now or postpone it at a later time.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-08-25 |
| S65 | Uniform Investment Adviser Law Examination | 2015-06-03 |
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