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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2010-07-08 |
| CA | RA | APPROVED | 2009-06-16 |
Branch Locations
701 B St, San Diego, CA 92101 • United States
2049 Century Park E Division - Pacific Coast, Los Angeles, CA 90067 • United States
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 | La Jolla | CA | 06/2009 | Present |
| Bank Of America, N.A. | La Jolla | CA | 06/2011 | Present |
I*460497 Entity Type: For Profit Name of outside business organization: FML ENTERPRISES, LLC Investment related: No Address of business: MT CHARLESTON, Nevada, 89124 Position, title, association: Consultant/Independent Contractor, Start date of relationship: 4/1/2019 Number of hours devoted: 5 hours Monthly Number of hours devoted during trading hours: 0 Duties: FML ENTERPRISES, LLC collects rent from a commercial building owned in Los Angeles and disburses funds to the partners. I*3337267 Entity Type: Fiduciary Role Name of OBA: K. R. Address: Severy, KS 67137 Investment Related: No Position, Title, Association: Administrator Employee Start Date: 01/01/2026 Number of Hours: 1, Weekly Number of Hours during trading: 1, Weekly Duties: Administrator/Siblings
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-05 |
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