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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-08-31 |
| WA | RA | APPROVED | 2018-09-26 |
Branch Locations
701 Pike Street Suite 2100, Seattle, WA 98101 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Seattle | WA | 11/1996 | 08/2018 |
| Bank Of America, N.A. | Seattle | WA | 06/2011 | 08/2018 |
| Oppenheimer & Co. Inc | Seattle | WA | 09/2018 | Present |
THIS IS A NON-INVESTMENT RELATED ACTIVITY THAT REQUIRES 4 HOURS OF MY TIME EACH YEAR. I MAKE MYSELF AVAILABLE TO SOON TO BE BUSINESS SCHOOL GRADS & HELP THEM NETWORK. IN ADDITION, THERE IS 1 - 2 BREAKFASTS EACH YEAR WITH A MEMBER OF THE BUSINESS COMMUNITY. I HAVE BEEN ON THIS BOARD THE PAST 10-15 YEARS. I PROVIDE NO INVESTMENT ADVISE NOT DO I SOLICIT CLIENTS FROM IT. THERE IS NO ENDOWMENT BEING MANAGED NOT DO BOARD MEMBERS DEAL WITH THE UNIVERSITY;S FINANCES. I HAVE ALWAYS CONSIDERED THIS TO BE A CHARITABLE ACTIVITY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-10 |
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