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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2022-05-18 |
| CA | RA | APPROVED | 2016-12-09 |
| TX | RA | APPROVED | 2016-12-09 |
Branch Locations
1331 North California Blvd. Suite 650, Walnut Creek, CA 94596 • United States
Las Vegas, NV • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pleasanton | CA | 12/2013 | 12/2016 |
| Bank Of America, N.A. | Pleasanton | CA | 07/2014 | 12/2016 |
| Rbc Capital Markets, Llc | Walnut Creek | CA | 12/2016 | Present |
| City National Bank | Walnut Creek | CA | 01/2017 | Present |
(1) CYO BASKETBALL; ADDRESS: 3999 BERNAL AVE, PLEASANTON CA 94566; BUSINESS DESCRIPTION: K-12 SPORTS REFEREE; NOT INVESTMENT RELATED; START DATE: 09/01/2005; CAPACITY: EMPLOYEE; DUTIES: REFEREE; HOURS DEVOTED PER WEEK: 02; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (2) NAME OF ENTITY: Scalez Reptiles ADDRESS: 14 Pillon Real Pleasant Hill CA 94523 (my home) INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Selling/breeding reptiles and educating the community about reptile conservation CAPACITY: Owner - Active START DATE: 9/1/2021 DUTIES: I will breed and sell reptiles while also educating the community on reptile conservation. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Rental Property/Second Home ADDRESS: 3830 N Maryland Ave, Shorewood, WI 53211 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Will generate passive income as a rental when we aren't vacationing there ourselves. CAPACITY: Owner - Passive START DATE: 1/5/2022 DUTIES: Minimal duties as this is just a rental home. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-03-21 |
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