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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2020-08-27 |
Branch Locations
401 Union St, Seattle, WA 98101 • United States
Boulder, CO • United States
370 17Th St, Denver, CO 80202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | London | 04/2006 | 05/2019 | |
| Bofa Securities, Inc. | London | 05/2019 | 05/2020 | |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Denver | CO | 05/2020 | Present |
I*131019For profit or not for profit: Non-Profit Organization Name of outside business organization: Rocky Ridge Music Center Investment related: N Address of business: Boulder, Colorado 80302 Position, title, association: Director, Start date of relationship: 11/13/2019Number of hours devoted: 3 hour(s) Quarterly Number of hours devoted during trading hours: 0Duties: Member of the Board of Directors and on Development and Marketing Committee I*1391350 Entity Type: Rental Property Name of outside business organization: Rental Property 1Investment related: No Address of business: Lafayette, Colorado, 80026, United States Position, title, association: Co-owner with other family members, Start date of relationship: 8/1/2023Number of hours devoted: 2 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: I*2697261, Entity Type: Rental Property Name of OBA: Rental Property 2, Address: Kaaawa, Hawaii, 96730, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee State Date: 08/09/2025, No Hours: 3 Yearly, No Hours during Trading: 0 Yearly, Duties: I*2911303, Entity Type: Entity Charitable, Name of OBA: University of Colorado Leads School of Business Burridge Ctr, Address: Boulder, Colorado, 80309, Investment Related: N, Position, Title, Association: Other, Employee State Date: 10/01/2025, No Hours: 1 Monthly, No Hours during Trading: 1 Monthly, Duties: Member of the Advisory Board My primary role will be to attend events with them and brainstorm on event invites Its mission is to enhance and elevate finance at Leeds, building superior innovation and talent. The Burridge Center is committed to supporting the key initiatives of the Rustandy Endowed Dean of the Leeds School of Business, expanding reach into both the diverse student population and the global financial services industry. I*4341266 Entity Type: Not for Profit Name of OBA: Denver Health Foundation Address: Denver, Colorado, 80203 Investment Related: No Position, Title, Association: Committee Member Employee Start Date: 05/01/2026 Number of Hours: 2, Monthly Number of Hours during trading: 0 Duties: Provide health care to people in the city of Denver, principally who are lower income Member of the Women for Life's Journey Leadership Committee - increase giving for women's health issues locally I*5149271, Entity Type: , Name of OBA: Rental Property - 31-Jul-26 - 1, Address: Boulder, Colorado, 80303, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 08/15/2026, No Hours: 10 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-20 |
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