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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-12-17 |
| CA | RA | APPROVED | 2015-03-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ontario | CA | 10/2014 | Present |
| Bank Of America, N.A. | Ontario | CA | 04/2015 | Present |
I*117393 Entity Type: Non-Profit Organization Name: CALIFORNIA MU ALUMNI CORPORATION SIGMA PHI EPSILON Investment related: No Address of business: RIVERSIDE, California 92504 Position, title, association: Advisory Board Member Start date of relationship: 10/1/2018 Number of hours devoted: 40 hours Annually Number of hours devoted during trading hours: 0 Duties: THIS IS THE ALUMNI CORPORATION FOR MY COLLEGE FRATERNITY AT CAL POLY POMONA. I HAVE BEEN ASKED TO SIT AS A BOARD MEMBER AT LARGE. I WOULD VOTE ON MATTERS AS THEY ARE NEEDED FOR APPROVAL OF THE BOARD. I*: 2631281 Entity Type: Fiduciary role Name of OBA: THE B. FAMILY LIVING TRUST Address: LaVerne, CA 91750 Investment Related: No Position, Title, Association: Trustee Employee Start Date: 7/17/2025 Number of Hours: 0 Number of Hours during trading: 0 Duties: Trustee/ Spouse
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-24 |
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