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2795 E Cottonwood Parkway Suite 600, Salt Lake City, UT 84121 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2017-05-15 |
Branch Locations
2795 E Cottonwood Pkwy Suite 600, Salt Lake City, UT 84121 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 04/2008 | 05/2017 |
| Bank Of America, N.A. | San Francisco | CA | 06/2011 | 05/2017 |
| Sepio Capital, Llc | Salt Lake City | UT | 05/2017 | Present |
(1) I*18920 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GRASS VALLEY RANCH LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 3560 SUGAR LEO ROAD 90 E. 200 N ST. GEORGE, UT, 877 NONE ST. GEORGE, UTAH 84790 NATURE OF BUSINESS: OTHER,RANCHING BUSINESS POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 1/1/1992 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OFFICER (2) I*85508 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: B BAR K CASCADE RANCH LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 380 LAKE CREEK LOOP RD, EAGLE POINT, OREGON 97524 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/30/2006 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: CATTLE RANCH. (3) Betty Knoebel Charitable Trust; not investment-related; 4950 Yosemite St, F2 #327, Greenwood Village, CO 80111; charitable trust; co-trustee; 08/17/2018; 5 hours per month; duties: trust administration, communication with beneficiaries, portfolio management, distribution approval (4) Knoebel Estate Trusts; investment-related; 4950 Yosemite St, F2 #327, Greenwood Village, CO 80111; estate planning trusts; investment, distribution and administration committee member; 06/30/2021; 10 hours per month; duties: participate as member of investment, distribution and administration committees
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1979-12-13 |
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