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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-08-15 |
| CA | RA | APPROVED | 2015-03-17 |
Branch Locations
Coto De Caza, CA • United States
2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • United States
520 Newport Center Dr, Newport Beach, CA 92660 • 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 | 03/2015 | Present |
| Bank Of America, N.A. | San Diego | CA | 03/2015 | Present |
I*: 2468338 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Carlsbad, CA 92009 Investment Related: No Position, Title, Association: Sole owner Employee Start Date: 07/01/2025 Number of Hours: 5 hrs annually Number of Hours during trading: 0 Duties: Owner of rental property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-17 |
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