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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2020-11-30 |
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1995-07-19 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
Lopez Island, WA • United States
Laguna Beach, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Ana | CA | 06/1983 | Present |
| Bank Of America, N.A. | Costa Mesa | CA | 08/2009 | Present |
I*498220, Entity Type: Entity For Profit, Name of OBA: rental property, Address: Corona del Mar, California 92625, Investment Related: N, Position, Title, Association: Owner, Employee Start Date: 06/28/2007, No Hours: 1, No Hours during trading: 0, Duties: Owner of Rental Property
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1983-08-25 |
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