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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-12-09 |
| CA | RA | APPROVED | 2016-07-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mesa | AZ | 04/2016 | Present |
| Bank Of America, N.A. | Mesa | AZ | 06/2016 | Present |
I*93028 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: TONOPAH COLTER 40 LLC INVESTMENT RELATED: Y ADDRESS OF BUSINESS: MESA, ARIZONA 85201 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: LIMITED PARTNER, START DATE OF RELATIONSHIP: 9/22/2014 NUMBER OF HOURS DEVOTED: 2 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: IT IS A PASSIVE INVESTMENT IN A PLOT OF RAW LAND IN TONOPAH, ARIZONA. I*2044275, Entity Type Fiduciary, Name of OBA: TL Family Trust Address: Mesa, Arizona, 85204 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 29-May-2015 No Hours: 0 No Hours during trading: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-16 |
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