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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1994-11-18 |
Branch Locations
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 | Bakersfield | CA | 07/1991 | Present |
| Bank Of America,Na | Bakers Field | CA | 09/2009 | Present |
I*77721 For profit or not for profit: For-Profit Organization Name of outside business organization: Amstutz Properties Investment related: Y Address of business: Bakersfield, California 93306 Nature of business: General Partnership, Position, title, association: General Partner, Start date of relationship: 12/26/2014 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: Real Estate and security investments for a family partnership. Responsibilities include managing the investment account and processing rental checks. I*429310 For profit or not for profit: Name of outside business organization: Bakerfield East Rotary Foundation Investment related: N Address of business: Bakerfield, California, 93303 Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Serve on Board as an advisor for distribution of Foundation Funds to various charities in Kern County
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1980-02-28 |
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