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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-04-16 |
| CA | RA | APPROVED | 2014-12-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 06/2010 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 06/2010 | Present |
I*503764 For profit or not for profit: Name of outside business organization: JOSEPH GARZA Investment related: N Address of business: BAKERSFIELD, California, 93304 Nature of business: Position, title, association: Sole owner, Start date of relationship: 10/25/2019 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*535249 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: ATMORE, Alabama, 36502 Nature of business: Position, title, association: Sole owner, Start date of relationship: 10/15/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-12-16 |
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