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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-09-03 |
| TX | RA | APPROVED_RES | 2013-02-26 |
| 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 | Fullerton | CA | 10/1995 | Present |
| Bank Of America, N.A. | Fullerton | CA | 10/1995 | Present |
I*2806329 Entity Type: Charitable Name of OBA: Saint Joseph's Catholic Church Address:Placentia California Investment Related:No Position, Title, Association:Committee Start Date:09/17/2025 No Hours: 1 Monthly No Hours during trading:0 Duties:Ensure transparent financial practices, budgeting, supporting our Pastor & parish leadership, and aligning our decisions with Gospel values.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-10-02 |
| S65 | Uniform Investment Adviser Law Examination | 1996-10-02 |
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