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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2005-07-05 |
| TX | RA | APPROVED_RES | 1998-04-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sun City | AZ | 05/1992 | Present |
| Bank Of America, N.A. | Sun City | AZ | 09/2009 | Present |
I*133329 For profit or not for profit: Non-Profit Organization Name of outside business organization: Luke Airforce Base Honorary Commander Program Investment related: N Address of business: Luke Airforce Base, Arizona 85309 Nature of business: Other,Non Profit Position, title, association: Committee Member, Start date of relationship: 9/22/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Community relations with the Luke Airforce base
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-07-05 |
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