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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-06-05 |
| CA | RA | APPROVED | 2017-05-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Mateo | CA | 08/2015 | Present |
| Bank Of America, Na | San Mateo | CA | 07/2017 | Present |
I*: 392197 Entity Type: School NAME OF OUTSIDE BUSINESS ORGANIZATION: JUNIPERO SERRA HIGH SCHOOL INVESTMENT RELATED: NO ADDRESS OF BUSINESS: SAN MATEO, CALIFORNIA 94403 POSITION, TITLE, ASSOCIATION: President of the alumni board START DATE OF RELATIONSHIP: 10/3/2017 NUMBER OF HOURS DEVOTED: 6 HOURS MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: President of the alumni board
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-05-27 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-27 |
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