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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-01-26 |
| CA | RA | APPROVED | 2016-08-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Segundo | CA | 05/2016 | Present |
| Bank Of America, N.A. | Segundo | CA | 10/2016 | Present |
I*1048551For profit or not for profit: Name of outside business organization: San Luis Rey ParishInvestment related: NAddress 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: , Finance Committee Member- help with discussion on budgets, programs sponsored by the church I*2279275, Entity Type Non-For-Profit, Name of OBA: St. Francis of Assisi Catholic School Address: Vista, CA 92083 Investment Related: No Position, Title, Association: Committee Member- Finance Committee Employee Start Date: 05/01/2025 No Hours: 2 monthly No Hours during trading: 0 Duties: This committee will advise the school on improvement projects for the school (ie repair bathrooms) and how to raise the money (ie. fundraiser type, when how and how much)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-08-23 |
| S63 | Uniform Securities Agent State Law Examination | 2013-02-16 |
| S65 | Uniform Investment Adviser Law Examination | 1999-01-22 |
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