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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-15 |
| TX | RA | APPROVED_RES | 1995-02-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 02/1995 | Present |
| Bank Of America, Na | Tucson | AZ | 12/2009 | Present |
I*3844268 Entity Type: N/A Name of OBA: S T S TTEE K S TTEE U/A DTD 07/31/2024 Address: tucson, Arizona, 85715 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 02/26/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1990-04-06 |
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