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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2001-03-13 |
| WA | RA | APPROVED | 1992-01-01 |
Branch Locations
2 disclosure categories 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 | Bellevue | WA | 06/1988 | Present |
| Bank Of America, N.A. | Bellelvue | WA | 03/2012 | Present |
I*34965FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DESTINATION ROSLYN RESORT, INC. DBA SUNCADIA VACATINVESTMENT RELATED: NADDRESS OF BUSINESS:CLE ELEM, WASHINGTON 98922NATURE OF BUSINESS: CORPORATION,POSITION, TITLE, ASSOCIATION: OTHER, THEY ARE THE RENTAL AGENT FOR USSTART DATE OF RELATIONSHIP: 2/5/2008NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: NONE, IN RENTAL MANAGEMENT AGREEMENT WITH THEM I*1492262For profit or not for profit: Name of outside business organization: Rental Property 1Investment related: NAddress of business: Prescott, Arizona, 86305, United StatesNature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/30/2023Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I*3547265, Entity Type: , Name of OBA: Rental Property 2, Address: Prescott, Arizona, 86305, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 03/01/2026, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties: I*3547266, Entity Type: , Name of OBA: Rental Property 3, Address: Prescott, Arizona, 86305, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 02/01/2026, No Hours: 20 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 1987-08-06 |
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