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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-06-03 |
| CA | RA | APPROVED | 2018-11-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| T. Rowe Price | Owings Mills | MD | 07/2013 | 03/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beverly Hills | CA | 11/2018 | Present |
| Unemployed | Owings Mills | MD | 03/2018 | 11/2018 |
I*121002 For profit or not for profit: Non-Profit Organization Name of outside business organization: LA CIty of Hope Investment related: N Address of business: Duarte, California 91010 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 3/20/2019 Number of hours devoted: 5 hour(s) Quarterly Number of hours devoted during trading hours: 3 Duties: Participate in Fashion and Retail council for LA city of Hope. responsibility is periodic meeting to help in ideas to generate fundraising events and Honorees for their organization in conjuction with other council members I*9557 For profit or not for profit: Name of outside business organization: Constante Ross Abaya Investment related: Address of business: San Diego, California 92122 Nature of business: , Position, title, association: , Start date of relationship: 5/13/2020 Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-23 |
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