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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-06-22 |
| TX | RA | APPROVED_RES | 2017-06-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Dublin | OH | 01/2013 | 05/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Temecula | CA | 06/2017 | Present |
I*36294 For profit or not for profit: For-Profit Organization Name of outside business organization: Rics BarkHaus Investment related: N Address of business: fallbrook, California 92028 Nature of business: Family Business, Position, title, association: Owner, Start date of relationship: 6/1/2010 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: board and train dogs
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-10-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-07 |
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