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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-22 |
| CA | RA | APPROVED | 2021-07-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Sacramento | CA | 09/2015 | 09/2018 |
| Wells Fargo Clearing Services, Llc | Sacramento | CA | 06/2016 | 09/2018 |
| Morgan Stanley | Sacramento | CA | 09/2018 | 06/2019 |
| Morgan Stanley Private Bank, N.A. | Sacramento | CA | 11/2018 | 06/2019 |
| Jp Morgan Securities, Llc | Woodland | CA | 06/2019 | 06/2021 |
| Jp Morgan Chase Bank, N.A. | Woodland | CA | 06/2019 | 06/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sacramento | CA | 06/2021 | Present |
| Bank Of America, N.A. | Sacramento | CA | 09/2021 | Present |
I*1361263 Entity Type: Entity Governmental Name: Administration, Investment & Fiscal Management Board Investment related: No Address of business: Sacramento, California, 95814 Position, title, association: Board Member, Finance committee Start date of relationship: 9/4/2023 Number of hours devoted: 8 hours Yearly Number of hours devoted during trading hours: 0 Duties: Adoption of investment standards; Fixing of contribution rates; Administration and investment standards; Administration and investment of funds; Selection of investment advisers; and Crediting of interest.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 2016-10-14 |
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