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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1997-03-25 |
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 | 03/1995 | Present |
| Bank Of America,N.A. | La Jolla | CA | 06/2011 | Present |
I*104740 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTY INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN DIEGO, CALIFORNIA 92122 NATURE OF BUSINESS: OTHER,PERSONALLY OWNED POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 2/1/2017 NUMBER OF HOURS DEVOTED: 3 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWNER OF SINGLE UNIT CONDOMINIUM RENTAL PROPERTY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-29 |
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