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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-12-12 |
| CA | RA | APPROVED | 2017-12-06 |
Branch Locations
1100-1800 American Blvd, Pennington, NJ 08534 • United States
2301 Rosecrans Ave, El Segundo, CA 90245 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services, Inc. | Boston | MA | 09/1996 | 01/2017 |
| Fidelity Personal Trust | Boston | MA | 02/2003 | 01/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 11/2017 | Present |
| Unemployed | Los Angeles | CA | 02/2017 | 11/2017 |
I*: 2188321 Entity Type: Co-Op HOA Name of OBA: Highview Estates HOA Address: Manhattan Beach, CA 90266 Investment Related: No Position, Title, Association: Board member Employee Start Date: 02/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: I will be expected to approve requested expenditures for the HOA and generally provide support and guidance to it. We have an HOA management company handling the day to day needs and finances.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-11 |
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