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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2021-04-06 |
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1993-04-20 |
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 Barbara | CA | 08/1986 | Present |
| Bank Of America Na | Santa Barbara | CA | 09/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-18 |
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