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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-09-07 |
| CA | RA | APPROVED | 2014-08-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | San Jose | CA | 07/2014 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Jose | CA | 07/2014 | Present |
I*74496 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY - 1744 FLICKINGER AVE INVESTMENT RELATED: Y ADDRESS OF BUSINESS: 1744 FLICKINGER AVE, SAN JOSE, CALIFORNIA 95131 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/25/2013 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REAL ESTATE PROPERTY OWNER. TASKS: MAINTINENCE OF PROPERTY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-19 |
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