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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-10-30 |
| WA | RA | APPROVED | 2009-10-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Everett | WA | 10/2009 | Present |
| Bank Of America, N.A. | Everett | WA | 06/2011 | Present |
I*2912282 Entity Type: For Profit Name of OBA: Fairview Condo. Assoc. HOA Address: Mukilteo, Washington, 98275 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 09/24/2025 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: HOA Board member Board member The board is responsible for the management of the community's assets, finances, and rules for the benefit of all the homeowners.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-28 |
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