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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-05-28 |
| CA | RA | APPROVED | 2024-05-24 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Securities Llc | San Diego | CA | 11/2010 | 07/2022 |
| E*Trade Capital Management Llc | San Diego | CA | 11/2010 | 07/2022 |
| Wells Fargo Clearing Services, Llc | La Jolla | CA | 07/2022 | 05/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | La Jolla | CA | 05/2024 | Present |
| Bank Of America, N.A. | La Jolla | CA | 11/2024 | Present |
I*2023275, Entity Type, Profit, Name of OBA: Rental Property 1, Address: Charleston, SC, 29401, Investment Related: No, Position, Title, Association: Co-owner with other family members, Employee Start Date: 08/21/2020, No Hours: 4hrs/Annually, No Hours during trading: 0, Duties:
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-06-28 |
| S65 | Uniform Investment Adviser Law Examination | 1999-06-21 |
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