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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-11 |
| CA | RA | APPROVED | 2020-08-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| University Of Oregon | Eugene | OR | 06/2015 | 09/2017 |
| The Duck Store | Eugene | OR | 08/2016 | 12/2016 |
| Axa-Advisors, Llc | New York | NY | 07/2017 | 06/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 07/2020 | Present |
| Bank Of America, N.A. | San Francisco | CA | 11/2020 | Present |
I*691262For profit or not for profit: Entity For ProfitName of outside business organization: Dave's Dugout CollectiblesInvestment related: NAddress of business: Los Altos, California, 94024Nature of business: ["Sole Proprietorship"]Position, title, association: ["Consultant/Independent Contractor"], Start date of relationship: 1/20/2022Number of hours devoted: 5 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: , Buying and Selling Sports Cards on eBay with my father.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-01-11 |
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