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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2019-11-01 |
| TX | RA | APPROVED | 2019-10-16 |
Branch Locations
5310 Kietzke Lane Suite 201, Reno, NV 89511-2044 • United States
Reno, NV • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Reno | NV | 10/2009 | 10/2019 |
| Bank Of America, N.A. | Reno | NV | 05/2011 | 10/2019 |
| Rbc Capital Markets, Llc. | Reno | NV | 10/2019 | Present |
| City National Bank | Reno | NV | 11/2019 | Present |
(I)*63752 For profit or not for profit: For-Profit Organization Name of outside business organization: HARRISON 601 LLC Investment related: N Address of business: LEADVILLE, Colorado 80461 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 11/8/2012 Number of hours devoted: 15 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: OWNERSHIP OF A COMMERCIAL BUILDING (2) NAME OF ENTITY: The Leadville Manhattan Project LLC ADDRESS: 618 Harrison Ave, Leadville, CO 80461 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Property ownership of single building CAPACITY: Owner - Passive START DATE: 06/30/2023 DUTIES: My primary role is providing capital for the purchase and refurbishment of the property. I will have limited input in all other areas of managing the property. HOURS DEVOTED PER MONTH: 0.5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Leadvilles Bar LLC ADDRESS: 618 Harrison Ave Leadville Colorado 80416 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Dec 02, 2024 CAPACITY: Other DUTIES: 50% ownership with no day-to-day responsibilities HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-17 |
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