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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-28 |
| TX | RA | APPROVED_RES | 2015-04-22 |
| WA | RA | APPROVED | 2009-10-23 |
Branch Locations
10400 Ne 4Th St, Bellevue, WA 98004 • United States
23655 N Scottsdale Rd, Scottsdale, AZ 85255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bellevue | WA | 10/2009 | Present |
| Bank Of America, N.A. | Bellevue | WA | 07/2011 | Present |
I*35147 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WAILEA EKAHI 5A - CONDO INVESTMENT RELATED: ADDRESS OF BUSINESS: 3300 WAILEA ALANUI WAILEA HI 96753 NATURE OF BUSINESS: POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 10/19/2010 NUMBER OF HOURS DEVOTED: 2 MONTHLY HOUR(S) NUMBER OF HOURS DEVOTED DURING TRADING HOURS: DUTIES: BOTH MYSELF AND THE CO-OWNER PLAN TO USE THE CONDO AS A SECOND HOME/VACATION HOME. WHEN WE AREN'T USING IT OURSELVES IT WILL BE OFFERED AS A VACATION RENTAL. WE WILL MANAGE THE RENTAL PROCESS OURSELVES WITH THE ASSISTANCE OF OUR WIVES. I*89715 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WAILEA EKAHI 5D CONDO INVESTMENT RELATED: N ADDRESS OF BUSINESS: 3300 WAILEA ALANUI, #5D WAILEA, HAWAII 96753 NATURE OF BUSINESS: PARTNERSHIP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12/8/2015 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: VACATION RENTAL CONDO
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-20 |
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