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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-16 |
| CA | RA | APPROVED | 2021-03-12 |
Branch Locations
1331 N California Blvd, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services, Llc | Paramus | NJ | 11/2011 | 12/2017 |
| Strategic Advisers, Inc. | Paramus | NJ | 12/2011 | 12/2017 |
| Tiaa | Oakland | CA | 11/2017 | 11/2020 |
| Tiaa-Cref Individual & Institutional Services, Llc | Oakland | CA | 11/2017 | 11/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Walnut Creek | CA | 01/2021 | Present |
| Bank Of America, N.A. | Walnut Creek | CA | 03/2021 | Present |
I*135802 For profit or not for profit: For-Profit Organization Name of outside business organization: Internet selling Investment related: N Address of business: Oakley, California 94561 Nature of business: Sole Proprietorship, Position, title, association: Owner, Start date of relationship: 1/1/2016 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Selling of collectibles on line during off hours I*10515 For profit or not for profit: Name of outside business organization: Rental Property Investment related: Address of business: Somerdale, New Jersey 08083 Nature of business: , Position, title, association: , Start date of relationship: 1/1/2017 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-02-17 |
| S63 | Uniform Securities Agent State Law Examination | 2009-03-23 |
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