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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2012-05-23 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenbrae | CA | 10/2009 | Present |
| Bank Of America, N.A. | Santa Rosa | CA | 07/2011 | Present |
UNNAMED BUSINESS; NOT INVESTMENT RELATED; WINDSOR, CA 95492; RESIDENTIAL REAL ESTATE RENTAL PROPERTY; PASSIVE OWNER, WIFE CO-OWNER & MANAGER; STARTED AUG 2001; NO TIME DEVOTED TO THIS BUSINESS; NO DUTIES WHATSOEVER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-15 |
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