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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2020-02-26 |
| TX | RA | APPROVED_RES | 2010-04-05 |
| CA | RA | APPROVED | 2006-11-13 |
Branch Locations
5951 La Sendita, Rancho Santa Fe, CA 92067 • United States
6006 El Tordo, Rancho Santa Fe, CA 92067 • 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 | 08/2006 | Present |
| Bank Of America, N.A. | San Diego | CA | 09/2009 | Present |
I*79679FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RENTAL PROPERTYINVESTMENT RELATED: NADDRESS OF BUSINESS:WEST LAKE CANANDAIGUA, NEW YORK 14424NATURE OF BUSINESS: SOLE PROPRIETORSHIP,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 3/1/2014NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: THIS IS OUR SECOND HOME WHICH WE RENT OUT WHEN WE ARE NOT THERE. MY WIFE AND I TAKE RESERVATIONS. I*4066324, Entity Type Entity For Profit, Name of OBA: Baja Excursions LLC Address: DenverColorado80206 Investment Related: No Position, Title, Association: Owner Employee Start Date: 03/20/2026 No Hours: 1 monthly No Hours during trading: 0 Duties: Ownership of the vessel only. At this time there is no responsibility for business operations. This is a single asset LLC that holds a sailing vessel. I am buying the single asset LLC to acquire the vessel.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-10 |
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