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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-05-24 |
| CA | RA | APPROVED | 2022-04-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Palo Alto | CA | 05/2007 | 04/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fresno | CA | 04/2022 | Present |
| Bank Of America, N.A. | Fresno | CA | 06/2022 | Present |
I*3844297, Entity Type: Governmental, Name of OBA: Fresno Economic Opportunities Commission, Address: Fresno, California, 93721, Investment Related: N, Position, Title, Association: Board Member, Employee Start Date: 05/01/2026, No Hours: 4 Monthly, No Hours during Trading: 1 Monthly, Duties: Providing insight to the board on ways to better serve the under served population Fresno EOC is considered one of the largest Community Action Agencies in the country. We employ over 1,200 full and part-time staff members committed to transforming lives. With over 30 programs to serve the community, we bridge gaps with almost every aspect of the underserved population. I*4614272 Entity Type: Not for Profit Name of OBA: Reading and Beyond Address: Fresno, California, 93721 Investment Related: No Position, Title, Association: Employee Start Date: 06/01/2026 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: Reading and Beyond provides life-changing learning pathways for children, youth, and adults to become self-reliant and engaged community members. Board member providing advice for organizations community outreach I*4654313 Entity Type: Governmental Name of OBA: County of Fresno Behavioral Health Board Address: Fresno, California, 93704 Investment Related: No Position, Title, Association: Employee Start Date: 06/08/2026 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: The Behavioral Health Board (BHB) is the public advisory board on adult, children and justice system mental health and substance use disorder issues. Providing a diverse opinion on mental health issues facing the county I*4762281, Entity Type: Entity Governmental, Name of OBA: Fresno Regional Workforce Development Board, Address: Fresno, California, 93721, Investment Related: N, Position, Title, Association: ["Board Member"], Employee Start Date: 06/30/2026, No Hours: 8 Yearly, No Hours during Trading: 0 Yearly, Duties: Providing insight on economic trends upcoming The Fresno Regional Workforce Development system, a Joint Powers Authority between the City and County of Fresno, in partnership with both the public and private sectors, exists primarily to assist local businesses in meeting their human capital needs. In this, we both (1) screen and train prospective new employees and (2) assist in upskilling existing employees. By offering such quality referral and training services, directly linked to local industry needs, we are of greatest benefit to our unemployed and underemployed clients.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-01-27 |
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