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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-24 |
| WA | RA | APPROVED | 2000-06-23 |
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 | Seattle | WA | 02/1985 | Present |
| Bank Of America, N.A. | Seattle | WA | 06/2011 | Present |
I*819266 For profit or not for profit: Entity For Profit Name of outside business organization: CATA Enterprises Investment related: Y Address of business: Seattle, Washington, 98107-4052 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 12/31/2021 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , CATA Enterprise was formed as part of settling my mothers estate . My 3 siblings and i inherited the building that housed the Ballard Smoke Shop restaurant and bar which our father ran from 1970 until his passing in 2012 .My sister ran the restaurant after dad died She leased the building during covid and is now is still The Ballard Smoke Shop restaurant and there are 3 apartments on the 2nd floor we each own a 25% interest in the building We each have an equal say in the management of the property , My sister in law is the book keeper FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION, NAME OF OUTSIDE BUSINESS ORGANIZATION: THE PHILANTHROPIA FOUNDATION, INVESTMENT RELATED: N, ADDRESS OF BUSINESS: SEATTLE, WASHINGTON 98112, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 5/1/2012, NUMBER OF HOURS DEVOTED: 4 HOUR(S) MONTHLY, NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0, DUTIES: PHILANTHROPIA IS AN 6 PERSON SENIOR ASSISTING LIVING FACILITY THAT IS AFFILIATED WITH ST. DEMETRIOS GREEK ORTHODOX CHURCH. I WOULD BE ASSISTING WITH HOME UPKEEP, RENT AND EMPLOYEE PAY DECISIONS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-20 |
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