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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-10-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Bend | OR | 03/2008 | 10/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bend | OR | 10/2016 | Present |
| Bank Of America, N.A. | Bend | OR | 12/2016 | Present |
I*99406 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: STUART JOHNS-SOLE PROPRIETOR INVESTMENT RELATED: N ADDRESS OF BUSINESS: BEND, OREGON 97701 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/1/2013 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MUSIC PERFORMANCE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-11 |
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