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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-12-12 |
| TX | RA | APPROVED | 2016-12-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bureau Of Labor Statistics | San Diego | CA | 01/2014 | Present |
| Cfg Wealth Management | San Diego | CA | 01/2015 | 11/2016 |
| Securities America Inc | San Diego | CA | 01/2016 | 11/2016 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Coronado | CA | 11/2016 | Present |
| Bank Of America, N.A. | Coronado | CA | 11/2016 | Present |
I*125027 For profit or not for profit: Non-Profit Organization Name of outside business organization: The La Jolla Historical Society Investment related: N Address of business: La Jolla, California 92037 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 7/22/2019 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: The La Jolla Historical Society is a 501c3 nonprofit public benefit corporation whose mission is to inspire and empower the community to make La Jolla s diverse past a relevant part of contemporary life.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 2014-11-14 |
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