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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2009-10-23 |
| GA | RA | APPROVED | 2009-10-23 |
| NV | RA | APPROVED | 2009-10-23 |
| TX | RA | APPROVED_RES | 2009-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Roseville | CA | 10/2009 | Present |
| Bank Of America, N.A. | Roseville | CA | 05/2011 | Present |
I*63182 ENTITY TYPE: NON-PROFIT NAME OF OUTSIDE BUSINESS ORGANIZATION: MERCY FOUNDATION INVESTMENT RELATED: Y ADDRESS OF BUSINESS:RANCHO CORDOVA, CALIFORNIA 65670 POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 4/7/2010NUMBER OF HOURS DEVOTED: 3 HOURS QUARTERLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 3 DUTIES: ON INVESTMENT/FINANCA COMMITTEE. WE HAVE MEETINGS EVERY 3 MONTHS I*516029 Entity Type: Rental Property Name: Rental Property 1Investment related: No Address of business: Elk Grove, California, 95758Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 7/24/2021Number of hours devoted: 1 hour Monthly Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-12 |
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