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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2017-12-20 |
| TX | RA | APPROVED | 2017-12-20 |
Branch Locations
834 State St, Santa Barbara, CA 93101 • United States
3790 State St, Santa Barbara, CA 93105 • United States
5892 Calle Real, Goleta, CA 93117 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | San Jose | CA | 05/2016 | 12/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cupertino | CA | 12/2017 | Present |
| Bank Of America, N.A. | Cupertino | CA | 12/2017 | Present |
I*5752 FOR PROFIT OR NOT FOR PROFIT: NAME OF OUTSIDE BUSINESS ORGANIZATION: R. S. N. AND S. R. LIVING TRINVESTMENT RELATED: ADDRESS OF BUSINESS:STOCKTON, CALIFORNIA 95206NATURE OF BUSINESS: ,POSITION, TITLE, ASSOCIATION: , START DATE OF RELATIONSHIP: 3/1/2010NUMBER OF HOURS DEVOTED: 0 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I*5753 FOR PROFIT OR NOT FOR PROFIT: NAME OF OUTSIDE BUSINESS ORGANIZATION: R. S. N. AND S. R. LIVING TRINVESTMENT RELATED: ADDRESS OF BUSINESS:LAS VEGAS, NEVADA 89122NATURE OF BUSINESS: ,POSITION, TITLE, ASSOCIATION: , START DATE OF RELATIONSHIP: 5/2/2012NUMBER OF HOURS DEVOTED: 0 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I*5751 FOR PROFIT OR NOT FOR PROFIT: NAME OF OUTSIDE BUSINESS ORGANIZATION: R. N. AND S. R. LIVNG TRUSTINVESTMENT RELATED: ADDRESS OF BUSINESS:STOCKTON, CALIFORNIA 95206NATURE OF BUSINESS: ,POSITION, TITLE, ASSOCIATION: , START DATE OF RELATIONSHIP: 2/1/2010NUMBER OF HOURS DEVOTED: 0 NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: I*: 1681256 Entity Type: Rental Property Name of OBA: Rental Property 1 Address: Seguin, TX 78155 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 1/21/2024Number of Hours: 0 Number of Hours during trading: 0 Duties: Property purchased for investment which will be managed by a property manager in the name of The R. S. N. and S. R. living trust. Property address is Seguin, TX 78155. We have hired property managers to find a renter and manage the property. I will not be spending any time managing this property. I*: 2109316 Entity Type: Rental Property Name of OBA: Rental Property 2 Address: Santa Barbara, CA 93111 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 12/01/2024 Number of Hours: 0 Number of Hours during trading: 0 Duties: Co-owner of rental property I*3639265 Entity Type: Fiduciary role Name of OBA: R. S N. TTEE S. R. Address: SANTA BARBARA, California, 93111 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 10/08/2009 Number of Hours: 0 Number of Hours during trading: 0 Duties: Co-Trustee/Family
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-05 |
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