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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-12-09 |
| TX | RA | APPROVED | 2016-12-09 |
Branch Locations
1331 North California Blvd. Suite 650, Walnut Creek, CA 94596 • United States
San Ramon, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pleasanton | CA | 02/1995 | 12/2016 |
| Bank Of America,Na | Pleasanton | CA | 09/2009 | 12/2016 |
| Rbc Capital Markets, Llc | Walnut Creek | CA | 12/2016 | Present |
| City National Bank | Walnut Creek | CA | 01/2017 | Present |
NAME OF ENTITY The Good Sheperd Fund / Secured Alliance ADDRESS 9633 S 48th St. Ste 290 Phoenix, AZ NOT INVESTMENT RELATED BUSINESS DESCRIPTION Provides guardianship and trustee services for peple with special needs and development disabilities CAPACITY Board of Directors * Committee/Council Member (not associated with the Board of Directors) START DATE 05/31/2021 DUTIES Reviewing performance of managed accounts Appoint and remove, employ and discharge, prescribe the duties and fix the compensation, if any, and supervise all officers, agents, and employees of this corporation. Meet at such times and places as required by the by-laws HOURS DEVOTED PER MONTH 01 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH None
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-13 |
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