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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-26 |
| TX | RA | APPROVED | 2021-01-27 |
| WV | RA | APPROVED | 2018-06-26 |
| PA | RA | APPROVED | 2016-07-13 |
| KY | RA | APPROVED | 2015-01-28 |
Branch Locations
2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • United States
Los Angeles, CA • United States
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 | Louisville | KY | 11/2000 | Present |
| Bank Of America, N.A. | Louisville | KY | 12/2009 | Present |
I*3100272 Entity Type: N/A Name of OBA: Rental Property 1 Address: Los Angeles, California, 90049 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 11/03/2025 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: N/A
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-29 |
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