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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-06-19 |
| CA | RA | APPROVED | 2012-02-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Ana | CA | 01/2012 | Present |
| Bank Of America, N.A. | Santa Ana | CA | 03/2012 | Present |
I*1480275 For profit or not for profit: Name of outside business organization: Amesbury Homeowners Association Investment related: N Address of business: , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , I would be a part of my homeowners association board of directors. I would still have to enter to be voted in. Activities include but not limited to Maintaining the Common Areas/Elements of the Community, Ensure Compliance with Governing Documents, making sure the budget is set for the year.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-16 |
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