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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-05 |
| TX | RA | APPROVED_RES | 2023-07-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compass Bank | Birmingham | AL | 02/2010 | 07/2023 |
| Bbva Securities Inc. | La Jolla | CA | 05/2013 | 07/2023 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 07/2015 | 07/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 07/2023 | Present |
| Bank Of America, N.A. | San Diego | CA | 08/2023 | Present |
I*1907286, Entity Type, Name of OBA: Rental Property 1, Address: Tucson, AZ, 85718, Investment Related: No, Position, Title, Association: Sole Owner, Employee Start Date: 09/04/2024, No Hours: 1hr/Mo, No Hours during trading: 0, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-14 |
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