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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-11-29 |
| CA | RA | APPROVED | 2017-11-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sacramento | CA | 07/2017 | Present |
| Federal Bureau Of Investigation | San Francisco | CA | 10/1995 | 07/2017 |
| Bank Of America, N.A. | Sacramento | CA | 12/2017 | Present |
I*113121For profit or not for profit: Non-Profit OrganizationName of outside business organization: Marine Corps League Detachment #940 Folsom, CAAddress of business:Folsom, California 95630Nature of business: Charitable Organization,Position, title, association: Committee Member, Start date of relationship: 4/16/2018Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: The position is for a Non-Profit Organization known as the Marine Corps League and is a Veterans organization for U.S. Marine Corps Veterans. I have been nominated for the position of Judge Advocate and will be responsible for the orgs By-Laws.I*1033340, Entity Type Entity Charitable, Name of OBA: Former Agents of the FBI Foundation, DBA Sacramento Chapter Address: OrangevaleCalifornia95662 Investment Related: No Position, Title, Association: Officer Employee Start Date: 12/01/2022 No Hours: 2 monthly No Hours during trading: 0 Duties: I will be board member (Chairman) of the Sacramento Chapter of the Society of Former Special Agents of the FBI and will handle Administrative matters such as setting up for meetings and handling invitations to Society meeting for members.I*2478302, Entity Type: , Name of OBA: Marshall Village Homeowners Association (HOA), Address: Gold River, California, 95670, Investment Related: N, Position, Title, Association: Board Member, Employee State Date: 05/27/2025, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: The Homeowners Association overseas the rules and regulation of the neighborhood community. As a board member I will be responsible for the Landscape committee and also voting on decisions related to the community presented to myself and the other four board during monthly board meetings. I*2797290 Entity Type: For Profit Name of OBA: Sand Bar Films Inc. (C Corp) Address:Alhambra California Investment Related:No Position, Title, Association:Consultant/Independent Contractor,Other Start Date:09/30/2025 No Hours: 5 Monthly No Hours during trading:0 Duties:As a Technical advisor I will be involved in advising the producer on specific details related to Law Enforcement , Liaison with Law Enforcement, and details about the past investigations. Also a private investor in this film.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-12 |
| S65 | Uniform Investment Adviser Law Examination | 1993-04-12 |
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