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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-09-25 |
| CA | RA | APPROVED | 2009-05-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Diego | CA | 05/2009 | Present |
| Bank Of America,N.A. | San Diego | CA | 06/2011 | Present |
I*128538 Entity Type: Non-Profit Organization Name of outside business organization: Athenaeum Music & Arts Library Investment related: Yes Address of business: La Jolla, California 92037 Position, title, association: Committee Member, Start date of relationship: 12/13/2019 Number of hours devoted: 6 hours Annually Number of hours devoted during trading hours: 0 Duties: The organization provides arts and library services to the San Diego Community. I will collectively review the Athenaeum Library financial statements with the other committee members. I*4401268 Entity Type: Fiduciary role Name of OBA: L. G P. TTEE J. J P. TTEE U/A DTD 08/05/1998 Address: San Diego, California, 92122 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 05/06/2026 Number of Hours: 1, Monthly Number of Hours during trading: 1, Monthly Duties: Co-Trustee/Self, Spouse
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1988-05-27 |
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