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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2009-01-13 |
| CA | RA | APPROVED | 2007-12-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 05/1987 | Present |
I*101065 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UBER INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN FRANCISCO, CALIFORNIA 94105 NATURE OF BUSINESS: CORPORATION, POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 1/3/2017 NUMBER OF HOURS DEVOTED: 80 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: DRIVER I*124511 For profit or not for profit: For-Profit Organization Name of outside business organization: HopSkipDrive Investment related: N Address of business: LOS ANGELES, California 90007 Nature of business: Corporation, Position, title, association: Part-Time, Start date of relationship: 8/1/2019 Number of hours devoted: 80 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: HopSkipDrive is a transportation network company that provides service to kids with operations in 6 metropolitan areas in the United States. It is aimed at children between the ages of 6 and 17 years who are legally restricted to use other transporta
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-27 |
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