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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-02-12 |
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1994-06-08 |
Branch Locations
2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States
Avon, CO • 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 | 04/1985 | Present |
| Bank Of America, N.A. | Los Angeles | CA | 08/2011 | Present |
I*1562278 For profit or not for profit: Name of outside business organization: Sam's Pizza Investment related: N Address of business: , , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Co_signing a loan for my cousin to purchase property for his pizza restaurant I* 2034288, Entity Type Fiduciary , Name of OBA: WTS Trust under will dated 10/21/2014 Address: Vero Beach, Florida, 32963 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date:Oct-11-2024 No Hours: 2 monthly No Hours during trading: 1 monthly Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1984-01-26 |
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