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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-29 |
| UT | RA | APPROVED | 2023-06-22 |
Branch Locations
280 S Main St, Salt Lake City, UT 84101 • United States
1868 S 300 W Ste C , Salt Lake City , UT 84115 • 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 |
|---|---|---|---|---|
| Quick & Reilly | Greenwood Village | CO | 12/2001 | 05/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Salt Lake City | UT | 11/2016 | 03/2022 |
| Wells Fargo Clearing Services, Llc | Salt Lake City | UT | 04/2022 | 05/2023 |
| Wells Fargo Bank, Na | Salt Lake City | UT | 03/2022 | 05/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Salt Lake City | UT | 05/2023 | Present |
| Bank Of America N.A. | Salt Lake City | UT | 08/2023 | Present |
I*2796282, Entity Type: , Name of OBA: P M Trust, Address: Corvallis, Oregon, 97033, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 10/20/2001, No Hours: 2 Weekly, No Hours during Trading: 0 Weekly, Duties: I*3034290 Entity Type: Charitable Name of OBA:ShelterKids Address:Salt Lake City Utah Investment Related:No Position, Title, Association:Board Member Start Date:12/01/2025 No Hours: 2 Weekly No Hours during trading:0 Weekly Duties:Assist in programs to assist at risk youth in the Salt Lake City Utah area, including fundraising, event planning and program discussions
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-30 |
| S65 | Uniform Investment Adviser Law Examination | 1998-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-15 |
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