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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2006-07-14 |
| 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 | Santa Barbara | CA | 09/1994 | Present |
| Bank Of America,N.A. | Santa Barbara | CA | 06/2011 | Present |
I*83680 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 4-PLEX APARTMENT BUILDING INVESTMENT RELATED: N ADDRESS OF BUSINESS: SANTA BARBARA, CALIFORNIA 93117 NATURE OF BUSINESS: TRUST, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 8/18/2011 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWNERSHIP AND OPERATION OF A 4-UNIT APARTMENT BUILDING. DAY-TO-DAY OPERATION OF THE BUILDING IS HANDLED BY A PROFESSIONAL PROPERTY MANAGEMENT COMPANY, THE MERIDIAN GROUP.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-11-25 |
| S65 | Uniform Investment Adviser Law Examination | 1994-11-25 |
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