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Bakersfield, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APP_PEND_IARCE | 2026-01-01 |
Branch Locations
311 Miller Avenue Suite A 4, Mill Valley, CA 94941-2844 • United States
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 | Mill Valley | CA | 04/2009 | Present |
| Bank Of America, N.A. | Mill Valley | CA | 03/2012 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-11 |
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