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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-01-04 |
| CA | RA | APPROVED | 2016-10-18 |
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 | 09/2016 | Present |
| Unemployed | Queen Creek | AZ | 07/2016 | 09/2016 |
| Bank Of America, N.A. | Mesa | AZ | 10/2016 | Present |
I*102972 For profit or not for profit: Non-Profit Organization Name of outside business organization: The Villages at Queen Creek HOA Investment related: N Address of business: Queen Creek, Arizona 85142 Nature of business: Corporation, Position, title, association: Committee Member, Start date of relationship: 3/9/2017 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I will be joining the finance committee of the HOA. This is not a board or director position. There is a board member and other committee members with financial experience. I will only be providing recommendations and have no decision making authority I* 1805287 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: no Address of business: Casa Grande, AZ, 85122 Nature of business: Position, title, association: Co-owner with other family members Start date of relationship: 02/15/2023 Number of hours devoted: 1 monthly Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-09 |
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