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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-07-08 |
| CA | RA | APPROVED | 2015-10-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America,N.A. | Duarte | CA | 10/2015 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Duarte | CA | 10/2015 | Present |
I*1055419 For profit or not for profit: Entity For Profit Name of outside business organization: Sapphire Florist Investment related: N Address of business: Rancho Cucamonga, California, 91701 Nature of business: ["Limited Liability Company"] Position, title, association: ["Consultant/Independent Contractor"], Start date of relationship: 11/1/2022 Number of hours devoted: 5 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , This is my wife's retail florist business and I help her with Financial and HR matters.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 2013-05-29 |
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