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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 1997-10-22 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
Rancho Palos Verdes, CA • United States
333 S Hope St, Los Angeles, CA 90071 • United States
608 Silver Spur Rd, Rolling Hills Estates, CA 90274 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Long Beach | CA | 08/1993 | Present |
| Bank Of America, N.A. | Long Beach | CA | 09/2009 | Present |
I*96294 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: INVESTMENT PROPERTY IN NAME OF PERSONAL TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN PEDRO, CALIFORNIA 90731 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 8/1/2016 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: INVESTMENT PROPERTY TO BE RENTED FIRST YEAR STARTING 8/1/16 BY LISA H I*2734 For profit or not for profit: Name of outside business organization: Rental Property in name of Living Trust Investment related: Address of business: San Pedro, California 90731 Nature of business: , Compensation for Activity: Position, title, association: , Start date of relationship: 8/10/2012 Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-29 |
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