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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2009-06-09 |
| TX | RA | APPROVED_RES | 2009-06-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | La Jolla | CA | 06/2009 | Present |
| Bank Of America,N.A. | La Jolla | CA | 06/2011 | Present |
I*39325 For profit or not for profit: Non-Profit Organization Name of outside business organization: RB Sunrise Rotary Investment related: N Address of business: San Diego, California 92128 Nature of business: Charitable Organization, Position, title, association: , Start date of relationship: 7/1/2011 Number of hours devoted: 12 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Membership Chairperson for the 2011-2012, & 2012-2013 Rotary business years. President Elect for the 2013/2014 Rotary business year. President for the 2014/2015 Rotary business year Finance Committee chair for the 2020/2021 Rotary business year
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-24 |
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