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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-04-30 |
| CA | RA | APPROVED | 2024-02-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Sacramento | CA | 07/2019 | Present |
| Franklin Templeton Investments | Rancho Cordova | CA | 03/2017 | 08/2018 |
| Franklin Templeton Investments | Rancho Cordova | CA | 08/2018 | 07/2019 |
| Extended Travel | Granite Bay | CA | 05/2016 | 03/2017 |
Name of other Business: Tomb of Minerva Investment related (yes or no): no Business address: n/a Nature of business: Music and entertainment Position/title: Bass guitar and vocals Relationship with business: Founding member Start date of relationship: 05/01/2019 Number of hours a month devoted to business: 20 Number of hours during securities trading hours devoted to business: 0 Description of duties: I compose the music, write lyrics, play the bass parts and deliver the vocals. I also facilitate the communication between the band and the crowd at live shows.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-02-05 |
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