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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-20 |
| CA | RA | APPROVED | 2019-07-12 |
Branch Locations
Newport Beach, CA • United States
520 Newport Center Dr, Newport Beach, CA 92660 • United States
200 E Franklin St, Monterey, CA 93940 • United States
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 |
|---|---|---|---|---|
| Jp Morgan Chase Bank Na | Carmel | CA | 05/2010 | 07/2019 |
| J.P. Morgan Securities Llc | Carmel | CA | 10/2012 | 07/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Carmel | CA | 07/2019 | Present |
| Bank Of America, N.A. | Carmel | CA | 08/2019 | Present |
I*: 2555284Entity Type: CharitableName of OBA: Rotary Club of Newport BalboaAddress: Newport Beach, CA 92663Investment Related: NoPosition, Title, Association: Board member Employee Start Date: 06/01/2025Number of Hours: 4 hrs wklyNumber of Hours during trading: 0Duties: To be involved in organizing and hosting local activities to support our local community.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-01-18 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-18 |
| S65 | Uniform Investment Adviser Law Examination | 1996-05-30 |
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