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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-05-22 |
| TX | RA | APPROVED | 2025-05-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 02/2012 | 11/2020 |
| Bank Of America, N.A. | La Jolla | CA | 03/2012 | 11/2020 |
| Morgan Stanley Smith Barney Llc | La Jolla | CA | 11/2020 | 05/2025 |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2020 | 05/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | La Jolla | CA | 05/2025 | Present |
| Bank Of America, N.A. | La Jolla | CA | 08/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2010-11-13 |
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