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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 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa | CA | 06/1978 | Present |
| Bank Of America,Na | Santa Rosa | CA | 09/2009 | Present |
I*480776 For profit or not for profit: Name of outside business organization: Sonoma County Republican Central Committee Investment related: N Address of business: Santa Rosa, California, 95403 Nature of business: Position, title, association: Representative, Start date of relationship: 1/2/2006 Number of hours devoted: 6 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I am a representative for the first supervisory disctrict of Sonoma County. I attend meetings and work on voter registration and fundraising. I am also a delegate of the State Republic Commission.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1982-06-28 |
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