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Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-10-03 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pasadena | CA | 05/1990 | Present |
| Bank Of America, N.A. | Pasadena | CA | 09/2009 | Present |
I*20730 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HISTORIC HIGHLANDS NEIGHBORHOOD ASSN. INVESTMENT RELATED: N ADDRESS OF BUSINESS: ELIZABETH 140 S LAKE AVE, PASADENA, PASADENA, CALIFORNIA 91101 NATURE OF BUSINESS: OTHER,COMMUNITY NEIGHBORHOOD ORGANIZATION POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/1/2010 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OFFICER DIRECTOR/BOARD MEMBER COMMUNITY RELATIONS I*104856 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LOS ANGELES ARBORETUM FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: ARCADIA, CALIFORNIA 91007 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 6/1/2017 NUMBER OF HOURS DEVOTED: 12 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE FOUNDATION PROVIDES GARDENS, EDUCATION AND PUBLICATIONS SERVING SO CAL. TRUSTEES SET DIRECTION, RESPONSIBLE FOR GOVERNANCE AND FIDUCIARYOVERSIGHT AND FISCAL STEWARD OF THE LA ARBORETUM I*104849 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: A NOISE WITHIN INVESTMENT RELATED: N ADDRESS OF BUSINESS: PASADENA, CALIFORNIA 91107 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 5/9/2017 NUMBER OF HOURS DEVOTED: 10 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ENTITY IS A THEATER. MY RESPONSIBILITIES WILL BE TO HELP RAISE FUNDS FOR THIS NON PROFIT ORG.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-18 |
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