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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-08-15 |
| TX | RA | APPROVED_RES | 2015-08-26 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Roseville | CA | 04/1994 | Present |
| Bank Of America,Na | Roseville | CA | 09/2009 | Present |
I*: 2697274 Entity Type: Fiduciary role Name of OBA: E. L S. Address: Lincoln, CA 95648 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 08/04/2025 Number of Hours: 5 hrs wkly Number of Hours during trading: 0 Duties: Successor Trustee for Parents I*4098270 Entity Type: Fiduciary role Name of OBA: The S. Family Trust Address: Sacramento, California, 95864 Investment Related: No Position, Title, Association: Co Trustee Employee Start Date: 03/19/2026 Number of Hours: 5, Monthly Number of Hours during trading: 1, Monthly Duties: Trust for my mothers estate/Co Trustee
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-05-20 |
| S65 | Uniform Investment Adviser Law Examination | 1994-05-20 |
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