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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-02-13 |
Branch Locations
4655 Executive Dr Ste 1000 [Sc-Rbo], San Diego, CA 92121 • United States
4655 Executive Dr 10Th Fl [Vj-Rbo], San Diego, CA 92121 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 12/2016 | 01/2018 |
| Deutsche Bank | Los Angeles | CA | 01/2007 | 12/2016 |
| Bank Of America, N.A. | Los Angeles | CA | 12/2016 | 01/2018 |
| Wells Fargo Clearing Services | San Diego | CA | 01/2018 | Present |
| Wells Fargo Bank | San Diego | CA | 01/2018 | Present |
SAN DIEGO MUSEUM OF ART; NOT INV. RELATED; SAN DIEGO, CA; BOARD OF TRUSTEES/DEVELOPMENT COMMITTEE; START DATE 8/1/2017; 4 HRS PER MONTH; 2 HRS DURING TRADING; DUTIES: DETERMINE MISSION/PURPOSE, SELECT AND SUPPORT THE CEO, ENSURE EFFECTIVE PLANNING AND FINANCIAL RESOURCES, MONITOR PROGRAMS/SERVICES, PROVIDE FINANCIAL OVERSIGHT TO PROTECT ASSETS AND PROVIDE ETHICAL GUIDANCE. MINGEI INTERNATIONAL MUSEUM; NOT INV. RELATED; SAN DIEGO, CA; BOARD OF TRUSTEES; START DATE 10/1/2017; 4 HRS PER MONTH; 2 HRS DURING TRADING; DUTIES: DETERMINE MISSION/PURPOSE, SELECT AND SUPPORT THE CEO, ENSURE EFFECTIVE PLANNING AND FINANCIAL RESOURCES, MONITOR PROGRAMS/SERVICES, PROVIDE FINANCIAL OVERSIGHT TO PROTECT ASSETS AND PROVIDE ETHICAL GUIDANCE. RENTAL PROPERTY, INVT RELATED, MEDFORD, OR, 100% OWNERSHIP WITH SPOUSE, START DATE 8/1/2022, 1 HR PER MONTH, 0 HRS DUIRNG TRADING, OWNER.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-13 |
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