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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 |
| TX | RA | APPROVED_RES | 1990-05-30 |
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 | Los Angeles | CA | 03/1983 | Present |
| Bank Of America, N.A. | Los Angeles | CA | 09/2009 | Present |
I*3108273 Entity Type: N/A Name of OBA:S.M.C. IRA Address:Los Angeles California Investment Related:No Position, Title, Association:Power of Attorney Start Date:10/30/2025 No Hours: 2 Monthly No Hours during trading:0 Monthly Duties:Power of Attorney for Spouse I*3110265 Entity Type: N/A Name of OBA:S.M.C. Roth IRA Address:Los Angeles California Investment Related:No Position, Title, Association:Power of Attorney Start Date:10/30/2025 No Hours: 2 Monthly No Hours during trading:0 Monthly Duties:Power of Attorney for Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-29 |
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