Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-10-08
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2012-10-08
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

Scottsdale, AZ • United States

23655 N Scottsdale Rd, Scottsdale, AZ 85255 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sacramento CA 11/1991 Present
Bank Of America,Na Folson CA 09/2009 Present
Other Businesses

I*21503FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: STRYKER LLCINVESTMENT RELATED: NADDRESS OF BUSINESS: 6101 LOCKRIDGE DR, GRANITE BAY, CALIFORNIA 95746NATURE OF BUSINESS: OTHER,LLCPOSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 12:00:00 AMNUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: MEMBER(2)FOR PROFIT OR NOT FOR PROFIT: NON-PROFITNAME OF OUTSIDE BUSINESS ORGANIZATION: FOLSOM ROTARY FOUNDATIONINVESTMENT RELATED: (YES OR NO) NOADDRESS OF BUSINESS: 7150 BALDWIN DAM ROAD, FOLSOM, CALIFORNIA 95630NATURE OF BUSINESS: CHARITABLE ORGANIZATIONYOUR POSITION, TITLE, ASSOCIATION: OFFICERSTART DATE OF RELATIONSHIP: 03/21/2011NUMBER OF HOURS DEVOTED PER MONTH: 4 ANNUALLYNUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0YOUR DUTIES: TRUSTEE; ENSURE ORGANIZATION IS IN COMPLIANCE WITH BY-LAWS AND REGULATIONS. I*: 2141272Entity Type: For Profit Name of OBA: Scottsdale Rental Home Address: Scottsdale, AZ 85260Investment Related: n Position, Title, Association: Owner Employee Start Date: 01/01/2025 Hours: 20hr/yr Hours during trading:0 Duties: hire a local property manager. The property manager will take care of all the site listing, rental activities and on site requirements. I will coordinate from her I*5075268 Entity Type: Fiduciary role Name of OBA: J. T S. TTEE A. A S. TTEE U/A DTD 03/26/1996 Address: Scottsdale, Arizona, 85260 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 07/23/2026 Number of Hours: 4, Weekly Number of Hours during trading: 4, Weekly Duties: Co-Trustee/Spouse

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-21
S63 Uniform Securities Agent State Law Examination 1992-01-16
  • S65 Uniform Investment Adviser Law Examination
    1995-02-21
  • S63 Uniform Securities Agent State Law Examination
    1992-01-16

View on SEC IAPD

More in Scottsdale, AZ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor