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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 |
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 | Stockton | CA | 12/1983 | Present |
| Bank Of America,N.A. | Stockton | CA | 06/2011 | Present |
I*111796 For profit or not for profit: Non-Profit Organization Name of outside business organization: Healing Hearts Society Investment related: N Address of business: Stockton, California 95219 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 1/24/2018 Number of hours devoted: 15 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: the Healing Hearts Society raises funds that are used to make $250 grants to families that have a death of a child. grants requests are submitted and approved by the 3 directors. my main responsibility is to approve the grants and help raise small am
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-21 |
| S66 | Uniform Combined State Law Examination | 2000-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1984-03-01 |
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