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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-08-11 |
| TX | RA | APPROVED_RES | 2009-07-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tucson | AZ | 06/1983 | Present |
I*57447 For profit or not for profit: For-Profit Organization Name of outside business organization: FOUR SAGUAROS LLC Investment related: N Address of business: TUCSON, Arizona 85743 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 7/1/2007 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I am a check writer on my husbands landscape business. I am allowed to pay bills off his business checking account. Every 2 weeks I write a check from his business and deposit into ML acct. This is considered his paycheck
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-24 |
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