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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-03-17 |
| CA | RA | APPROVED | 2004-06-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pleasanton | CA | 11/1996 | Present |
I*41598 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ASHWORTH FAMILY LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 20815 SAN RAMON VALLEY BLVD, SAN RAMON, CALIFORNIA 94583 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OTHER, SIGNER/MANAGER OF LLC START DATE OF RELATIONSHIP: 6/20/2007 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HELPING MANAGE FAMILY RUN PROPERTY WITH CELLULAR SITES. GRANDPARENTS PROPERTY PUT INTO LLC FOR BENEFIT OF MEMBERS. BEING MAINTAINED UNTIL FINAL DISTRIBUTION TO BENEFICIARIES SOMETIME IN 2012 DUE TO DEATHS OF BOTH FORMER MANAGER'S LEROY & JANE ASHWORTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-19 |
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