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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-04-29 |
| CA | RA | APPROVED | 2006-10-20 |
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 | Roseville | CA | 07/2006 | Present |
| Bank Of America,Na | Roseville | CA | 08/2009 | Present |
I*25856FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: ST. JOHN'S SHELTER FOR WOMEN AND CHILDRENINVESTMENT RELATED: NOADDRESS OF BUSINESS: SACRAMENTO, CA 95825-1379SACRAMENTO, CALIFORNIA 95826-4352POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER START DATE OF RELATIONSHIP: 7/23/2009NUMBER OF HOURS DEVOTED: 10 HOURS MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: DIRECTOR/BOARD MEMBER SUBCOMMITTEE MEMBER SUPPORT HOMELESS WOMEN WITH CHILDREN TO ADVANCE FROM A POINT OF CRISIS TO A POSITION OF SELF-SUFFICIENCY I*: 2584283Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FPO D. C. IRA FBO D. C.Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of Attorney Employee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: Power of Attorney for Child/Grandchild I*: 2584284Entity Type: Fiduciary roleName of OBA: MLPF& S CUST FPO P. N C. IRA FBO P. N C.Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of Attorney Employee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: Power of Attorney for Child/Grandchild I*: 2584285Entity Type: Fiduciary roleName of OBA: P. N C. & D. C. TTEES UAD 09/18/1996Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of Attorney Employee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthly Duties: Power of Attorney for Child/Grandchild I*: 2584286Entity Type: Fiduciary roleName of OBA: P. N C. & D. R C. TTEES UAD 09/18/1996Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Power of Attorney for Child/Grandchild I*: 2586281Entity Type: Fiduciary roleName of OBA: P. N C. TTEE D. R C. TTEE U/A DTD 09/Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Power of Attorney for Child/Grandchild I*: 2586283Entity Type: Fiduciary roleName of OBA: P. N C. & D. C. TTEES UAD 09/18/1996Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Power of Attorney for Child/Grandchild I*: 2586284Entity Type: Fiduciary roleName of OBA:P. N C. & D. R C. TTEES UAD 09/18/1996 Address: Sacramento, CA 95819Investment Related: NoPosition, Title, Association: Power of AttorneyEmployee Start Date: 07/31/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Power of Attorney for Child/Grandchild I*2797289, Entity Type: , Name of OBA: P N C & D R C TTEES UAD 09/18/1996 , Address: Sacramento, California, 95819, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 08/28/2025, No Hours: 4 Monthly, No Hours during Trading: 1 Monthly, Duties:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-10-19 |
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