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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 1999-10-27 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Menlo Park | CA | 06/1993 | Present |
| Bank Of America, Na | Menlo Park | CA | 09/2009 | Present |
I*2172341, Entity Type: , Name of OBA: J R. H Living Trust, Address: El Dorado Hills, California, 95762, Investment Related: N, Position, Title, Association: Successor Trustee, Employee State Date: 24-Mar-2025, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: I*380661, Entity Type: Entity For Profit, Name of OBA: L Hughes Dog Studio, Address: Redwood City, California, 94065, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 09/05/2020, No Hours: 8 Monthly, No Hours during Trading: 0 Monthly, Duties: Dog trainer, Dog training I*393950, Entity Type: Entity For Profit, Name of OBA: L Hughes Studio, Address: Redwood City, California, 94065, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 03/03/2015, No Hours: 4 Monthly, No Hours during Trading: 0 Monthly, Duties: Artist, Creating fine art
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-20 |
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