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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-11 |
| CA | RA | APPROVED | 2022-10-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | San Diego | CA | 06/2009 | 06/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Carlsbad | CA | 08/2022 | Present |
I*2654284, Entity Type: , Name of OBA: T B B TRUST, Address: ENCINITAS, California, 92024, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 02/21/2025, No Hours: 24 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-05-14 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-30 |
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