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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-01-25 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
333 S Hope St, Los Angeles, CA 90071 • United States
Calabasas, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 06/1983 | Present |
| Bank Of America,N.A. | Los Angeles | CA | 06/2011 | Present |
I*60005 For profit or not for profit: Non-Profit Organization Name of outside business organization: Los Angeles World Affairs Council Investment related: N Address of business: Culver City, California 90232 Nature of business: Charitable Organization, Position, title, association: Director, Start date of relationship: 2/15/2013 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: To be one of a two member audit committee that determines who our auditors are, negotiates compensation for auditors, meets with the partner in charge of the audit before the audit, receives the audited statements once a year and reviews I*115259 For profit or not for profit: For-Profit Organization Name of outside business organization: LeaStella Productions LLC Investment related: Y Address of business: 805 S Wooster, #309 Los Angeles, California 90035 Nature of business: LLC, Compensation for Activity: N Position, title, association: Committee Member, Start date of relationship: 6/25/2018 Number of hours devoted: 20 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I have a pre-approved private investment with this entity in the form of a loan. Company is requesting my participation on fund raising committee for an event in November with non-profit co-host, the International Victims Action Center
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1983-09-14 |
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