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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-16 |
| TX | RA | APPROVED_RES | 1988-04-08 |
Branch Locations
275 E Rivulon Blvd, Gilbert, AZ 85297 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mesa | AZ | 09/1978 | Present |
| Bank Of America, N.A. | Mesa | AZ | 11/2009 | Present |
I*93599 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: 3535 S S B INVESTMENT RELATED: N ADDRESS OF BUSINESS: 3535 S SAN BENITO DR, GILBERT, ARIZONA 85297 NATURE OF BUSINESS: OTHER, OWNED BY MY WIFE AND MYSELF POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/1/2016 NUMBER OF HOURS DEVOTED: 0 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY. MY RESPONSIBILITY IS TO PAY THE BILLS. I HAVE A RENTAL AGENT TO TAKE CARE OF EVERYTHING INCLUDING FINDING A RENTER, COLLECTING RENT AND FIXING EVERYTHING. I*92153 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MESA PRESBYTERIAN CHURCH INVESTMENT RELATED: N ADDRESS OF BUSINESS: 161 N MESA DR, MESA, ARIZONA 85201 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 41000 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REVIEWING FINANCIAL STATEMENTS WITH NO ACCESS TO ACTUAL PAYMENTS OR RECEIPT OF CASH I*100396 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: FIRST PRESBYTERIAN CHURCH OF MESA INVESTMENT RELATED: Y ADDRESS OF BUSINESS: MESA, ARIZONA 85201 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/2/2017 NUMBER OF HOURS DEVOTED: 2 HOUR(S) QUARTERLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THE CHURCH ENDOWMENT COMMITTEE CHAIRMAN. I WILL PRESIDE OVER THE MEETINGS WHICH MEETS NO MORE THAN QUARTERLY AND THE COMMITTEE WILL MAKE INVESTMENT DECISIONS. THE CURRENT VALUE OF THE ENDOWMENT IS A LITTLE OVER $300,000. I*1977304, Entity Type, Name of OBA: Pinetop Country Club Pickleball Board of Directors Address: PinetopArizona85935 Investment Related: Position, Title, Association: No Employee Start Date: 08/29/2024No Hours: 2 Monthly No Hours during trading: 0 Duties: expand the knowledge of pickleball within the country club and help arrange tournaments and social events. I will be a director but not an officer
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 1979-11-10 |
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