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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2003-09-17 |
| TX | RA | APPROVED_RES | 2000-04-25 |
| 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 | Santa Rosa | CA | 02/1984 | Present |
| Bank Of America, N.A. | Santa Rosa | CA | 09/2009 | Present |
I*: 1152313Entity Type: Rental Property Name of OBA: Rental Property 2Address: Santa Rosa, California, 95404Investment Related: NoPosition, Title, Association: Co-owner with other family membersEmployee Start Date: 01/19/2023Number of Hours: 5 hrs annuallyNumber of Hours during trading: 0 Duties:.I*1139282, Entity Type: Entity For Profit, Name of OBA: Rental Property 1, Address: Santa Rosa, California 95404, Investment Related: N, Position, Title, Association: Co-owner with other family members, Employee Start Date: 01/06/2023, No Hours: 10, No Hours during trading: 0, Duties: Owner of Rental Property I*: 426900 Entity Type: Entity For Profit Name of OBA: Seven Eyes LLC Address: Santa Rosa, California 95409 Investment Related: n Position, Title, Association: General Partner/Managing Member Employee Start Date: 11/17/2017 No Hours: 2 hours/ mo No Hours during trading: 0 Duties: Manager of Seven Eyes LLC for personal real estate holdings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-25 |
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