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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-11-02 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
74800 Us Highway 111, Indian Wells, CA 92210 • United States
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 | Indian Wells | CA | 10/1994 | Present |
| Bank Of America, N.A. | Indian Wells | CA | 09/2009 | Present |
I*2535363, Entity Type: Fiduciary role Name of OBA: B A W, Address: Indio, California, 92201, Investment Related: No, Position, Title, Association: Power of Attorney, Employee State Date: 06/03/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Powe of Attorney / immediate family member
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-12-28 |
| S65 | Uniform Investment Adviser Law Examination | 1994-12-28 |
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