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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-06-30 |
| TX | RA | APPROVED | 2022-06-30 |
Branch Locations
300B Drakes Landing Road Ste 155, Greenbrae, CA 94904 • United States
San Rafael, CA • 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 | Scarsdale | NY | 01/1997 | 06/2022 |
| Bank Of America, N.A. | Mill Valley | CA | 09/2009 | 06/2022 |
| Rbc Capital Markets, Llc | Marin | CA | 06/2022 | Present |
| City National Bank | Marin | CA | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-08 |
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