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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-07-18 |
| CA | RA | APPROVED | 2014-07-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 05/2014 | Present |
| Bank Of America, N.A. | Chandler | AZ | 06/2014 | Present |
I*131858For profit or not for profit: For-Profit OrganizationName of outside business organization: StockXAddress of business: Detroit, Michigan 48226Nature of business: Corporation,Compensation for Activity:Position, title, association: Other, I am not working for the company, it's like eBayStart date of relationship: 6/22/2020Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I would like to post shoes or other collectibles for sale on StockX platform. These are from my personal collection and I am not working for the company or taking employment with them. It is similar to eBay but more specialized and specific. I*440231, Entity Type Entity For Profit, Name of OBA: R D Address: TustinCalifornia92782 Investment Related:No Position, Title, Association: Owner Employee Start Date: 03/31/2020No Hours: 5 monthly No Hours during trading: 0 Duties: Occasionally sell personal items on eBay- I do not have an eBay store, just a few listings; I also do a small collectible show, maybe once every month or quarter, and have a table where I sell similar items that I sell on eBay. I*504167 Entity Type: Rental Property Name of OBA: R and E D Address: Diamond Bar, California, 92782 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 08/01/2006 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Rental Property/Co-owner with other family members I*504168 Entity Type: Rental Property Name of OBA: R and E D Address: Chino Hills, California, 91709 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 02/01/2016 Number of Hours: 1, Monthly Number of Hours during trading: 0 Duties: Rental Property/Co-owner with other family members I*4631307 Entity Type: For Profit Name of OBA: R. D.a Address: Fountain Valley, California, 92708 Investment Related: No Position, Title, Association: Other Employee Start Date: 06/20/2026 Number of Hours: 6, Monthly Number of Hours during trading: 0 Duties: Doing local trading card shows once every few months, similar to a swap meet. Selling trading cards (sports, pokemon cards, etc.)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-14 |
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