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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2025-04-07 |
| TX | RA | APPROVED_RES | 2012-06-15 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
Anaheim, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Anaheim | CA | 10/2009 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 05/2011 | Present |
I*36631 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE PATRIQUIN FAMILY TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: ORANGE, CALIFORNIA 92867 NATURE OF BUSINESS: TRUST,RE OWNED IN THE NAME OF OUR FAMILY TRUST POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 11/16/2010 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY OWNER I*83175 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE PATRIQUIN FAMILY TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: ORANGE, CALIFORNIA 92867 NATURE OF BUSINESS: TRUST,RE OWNED IN THE NAME OF OUR FAMILY TRUST POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 11/16/2010 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY OWNER I*83176 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE PATRIQUIN FAMILY TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: ORANGE, CALIFORNIA 92867 NATURE OF BUSINESS: TRUST,RE OWNED IN THE NAME OF OUR FAMILY LIVING TRUST POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 11/16/2010 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY OWNER I*83177 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE PATRIQUIN FAMILY TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: ORANGE, CALIFORNIA 92867 NATURE OF BUSINESS: TRUST,RE OWNED IN THE NAME OF OUR FAMILY TRUST POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 11/16/2010 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY OWNER I*83178 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE PATRIQUIN FAMILY TRUST INVESTMENT RELATED: N ADDRESS OF BUSINESS: ORANGE, CALIFORNIA 92867 NATURE OF BUSINESS: TRUST,RE OWNED IN THE NAME OF OUR LIVING TRUST POSITION, TITLE, ASSOCIATION: TRUSTEE, START DATE OF RELATIONSHIP: 11/16/2010 NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY OWNER I*1491280 For profit or not for profit: Name of outside business organization: The Patriquin Family Trust Investment related: N Address of business: Anaheim, California, 92807, United States Nature of business: ["Business or Industry Organization"] Position, title, association: ["Owner"], Start date of relationship: 9/19/2023 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 1 Duties: , Investment for diversification and higher return Name of the other businessLiving Trust Whether the business is investment-relatedNot Investment related Address of the other business Nature of the other business Your positionTrustee Title, or relationship with the other business Start date of your relationship5/10/2023 Approximate number of hours/month you devote to the other business0 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-24 |
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