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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2007-11-20 |
| CA | RA | APPROVED | 2003-04-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Brea | CA | 04/2003 | Present |
| Bank Of America,N.A. | Brea | CA | 06/2011 | Present |
I*: 2649260 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Lake Arrowhead, CA 92352 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 07/26/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 0 Duties: Sole owner/ Rental Property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1993-08-13 |
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