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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-02-09 |
| CA | RA | APPROVED | 2010-09-30 |
Branch Locations
701 B St, San Diego, CA 92101 • United States
San Diego, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 09/2010 | Present |
| Bank Of America, N.A. | San Diego | CA | 05/2017 | Present |
I*136937 For profit or not for profit: For-Profit Organization Name of outside business organization: Initio LLC Investment related: N Address of business: wilmington, Delaware 19805 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 12/23/2020 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Initio LLC is a Delaware LLC formed and 100 percent owned by me for the only purpose of holding title to a boat I purchased in Florida.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-10 |
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