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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-03 |
| CA | RA | APPROVED | 2024-09-12 |
Branch Locations
555 California St Pbig - San Francisco, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Securities Company, Llc | San Francisco | CA | 01/2022 | 01/2023 |
| First Republic Investment Management, Inc | San Francisco | CA | 01/2022 | 01/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 07/2004 | 01/2022 |
| Ubs Financial Services | San Francisco | CA | 02/2023 | 09/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 09/2024 | Present |
| Bank Of America, N.A. | San Francisco | CA | 09/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-14 |
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