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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-11-22 |
| TX | RA | APPROVED | 2019-11-21 |
Branch Locations
300B Drakes Landing Road Ste 155, Greenbrae, CA 94904 • United States
Novato, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mill Valley | CA | 06/1989 | 11/2019 |
| Bank Of America,Na | Mill Valley | CA | 09/2009 | 11/2019 |
| Rbc Capital Markets, Llc. | Greenbrae | CA | 11/2019 | Present |
| City National Bank | Greenbrae | CA | 12/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-08 |
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