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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-02-14 |
| CA | RA | APPROVED | 2022-12-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kms Financial Services, Inc | Seattle | WA | 11/2007 | 11/2020 |
| Securities America, Inc. | Lynwood | WA | 11/2020 | 09/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 09/2022 | Present |
| Bank Of America N.A. | San Diego | CA | 11/2022 | Present |
PROSPERITY WEALTH MANAGEMENT - INVESTMENT RELATED - SAME ADDRESS - WEALTH MANAGEMENT - 2007 - 16-20 HR/MO TOTAL - 0 HR/MO DURING TRADING HOURS - PROVIDE ADMINISTRATIVE, MARKETING AND BUS. DEVELOPMENT SUPPORT FOR BROKER. DBA - 88 Prosperity Wealth Management *1068247 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Encinitas, California Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 10/26/2003 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-18 |
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