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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bofa Securities, Inc. | Tucson | AZ | 08/2021 | 03/2024 |
| Wells Fargo Bank, Na | Tucson | AZ | 07/1999 | 08/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 09/2025 | Present |
| Crossfirst Bank/ Busey Bank | Tucson | AZ | 03/2024 | 08/2025 |
I*1084283 Entity Type: For Profit Name: Nextsource Inc. Investment related: No Address: New York, New York, 10016 Position, title, association: Employee, Start date of relationship: 1/9/2023 Number of hours devoted: 5 hr Wkly Number of hours devoted during trading hours: 0 Duties: The entity is the out of state/employee entity for Catholic University of America (CUA). CUA has a joint venture with Pima Community College to provide an undergraduate degree to residents in Pima County. This role would be an instructor guide, where I facilitate the introduction to finance course. I*1407282 Entity Type: Charitable Name: Tucson High Badger Foundation, Inc. Investment related: No Address: Tucson, Arizona, 85703 Position, title, association: Board Member, Start date of relationship: 8/8/2023 Number of hours devoted: 1 hr Mhly Number of hours devoted during trading hours: 0 Duties: The Tucson High Badger Foundation's mission is to serve and support the Tucson High Magnet School community, consisting of students, faculty and staff by providing financial assistance for special events, services to students and faculty and post-secondary student scholarships. In addition, the Foundation also honors, celebrates and preserves the history, traditions and achievements of THMS. The foundation has 11 meetings per year, every month but July. Meetings are held second Tuesday of each month. There is fundraising efforts including a golf tournament, donation requests, memorial bricks, and through the selections process of the THMS Hall of Fame events, and other efforts. I*2918280 Entity Type: Fiduciary role Name of OBA: M.E.M. aka E.M. Address: Tucson Arizona Investment Related: No Position, Title, Association: Power of Attorney Start Date:10/04/2024No Hours: 2 Monthly No Hours during trading:0 Duties: Power of Attorney for Parents I*2918295 Entity Type: Fiduciary role Name of OBA: A.M.M. Living Trust Dated 12-1-23 Address: Tucson Arizona Investment Related: No Position, Title, Association: Successor Trustee Start Date:12/01/2023No Hours: 2 Yearly No Hours during trading:2 Yearly Duties: Successor Trustee for Child/Grandchild I*2919285 Entity Type: Fiduciary role Name of OBA: A.M.M Address: Tucson Arizona Investment Related: No Position, Title, Association: Power of Attorney Start Date: No No Hours: 2 Yearly No Hours during trading: 2 Yearly Duties: Power of Attorney for Child/Grandchild I*3184352 Entity Type: Fiduciary role Name of OBA: K A M Address: Tucson, Arizona, 85745 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 10/13/2025 Number of Hours: 1, Yearly Number of Hours during trading: 1, Yearly Duties: Power of Attorney Child/Grandchild I*2815278 Entity Type: Charitable Name of OBA: YMCA of Southern Arizona Address: Tucson, Arizona, 85701 Investment Related: No Position, Title, Association: Committee, Board Member Employee Start Date: 01/06/2025 Number of Hours: 40, Yearly Number of Hours during trading: 24, Yearly Duties: Focused on Youth Development, Healthy Living, and Social Responsibility, our aim is to cultivate a healthier Tucson. We forge robust partnerships with local and city organizations, delivering empowering, nurturing, and exciting programs and services that enhance lives and build a stronger, more vibrant community. Monthly Board Meetings, Periodic Governance committee meetings and general fundraising and recruitment activities.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 2022-05-23 |
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