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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-09-12
HI RA APPROVED 2014-06-19
  • TX RA
    APPROVED_RES
    Since 2016-09-12
  • HI RA
    APPROVED
    Since 2014-06-19

Branch Locations

1003 Bishop St, Honolulu, HI 96813 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Honolulu HI 02/2014 Present
Bank Of America, N.A. Honolulu HI 07/2014 Present
Other Businesses

I*107440For profit or not for profit: Non-Profit OrganizationName of outside business organization: Access TennisInvestment related: NAddress of business:Honolulu, Hawaii 96815Nature of business: Charitable Organization,Position, title, association: Advisory Board Member, Start date of relationship: 8/22/2018Number of hours devoted: 5 hour(s) QuarterlyNumber of hours devoted during trading hours: 0Duties: I was asked to join the Access tennis board, that focus on giving unpriviledge children money to be able to buy equipment to play tennis. Also supports the development of young tennis player by awarding grants to travel and play tennis I*113915For profit or not for profit: Non-Profit OrganizationName of outside business organization: Hawaii Opera TheatreInvestment related: NoAddress of business: Honolulu, Hawaii 96813Position, title, association: Committee MemberStart date of relationship: 5/1/2018Number of hours devoted: 5 hours QuarterlyNumber of hours devoted during trading hours: 0Duties: Responsibilities are to chair the investment committee, run quarterly meetings, and report to the board the decision of the committee for approval. I*1652273Name of OBA: Rental Property 1Address: Honolulu, HawaiiInvestment Related: NoPosition, Title, Association: Co-owner with other family membersEmployee Start Date:12/01/2023No Hours:0No Hours during trading:0 Duties: Co-owner with other family membersName of the other businessInvestment-related: NoAddress of the other businessYour position: TrusteeStart date of your relationship8/10/2023Approximate number of hours/month you devote to the other business: 6 hrsNumber of hours you devote to the other business during securities trading hours: 0Briefly describe your duties relating to the other business: Trustee I*396172Entity Type: Entity CharitableName of OBA: Festa Italiana HawaiiAddress: Kailua, Hawaii, 96734Investment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 06/30/2019Number of Hours: 20, MonthlyNumber of Hours during trading: 0, MonthlyDuties: Organization of an Italian street festival to highlighting the culinary traditions. With funds raised will provide scholarship for kids to be able to study/travel to italy. Event organization and logistics. Fundraising and marketing. I*3322274, Entity Type: Entity Charitable, Name of OBA: Ferrari Club of Hawaii, Address: San Mateo , California, 94403, Investment Related: N, Position, Title, Association: Committee, Employee Start Date: 01/09/2026, No Hours: 10 Monthly, No Hours during Trading: 0 Monthly, Duties: President of the Hawaii chapter, Sharing the legacy and values of E F

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-18
  • S66 Uniform Combined State Law Examination
    2014-06-18

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