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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2014-04-18 |
| TX | RA | APPROVED | 2014-04-17 |
Branch Locations
520 Newport Center Dr, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 04/2014 | Present |
| Bank Of America, N.A. | Newport Beach | CA | 07/2014 | Present |
I*71518 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PENGUIN PROPERTIES INVESTMENT RELATED: N ADDRESS OF BUSINESS: LAGUNA NIGUEL, CALIFORNIA 92677 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/22/2014 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MANAGEMENT COMPANY FOR MY PERSONAL PROPERTIES. I*1069271 For profit or not for profit: Name of outside business organization: Rental Property 3 Investment related: N Address of business: Long Beach, California, 90803 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/9/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1069272 For profit or not for profit: Name of outside business organization: Rental Property 3 Investment related: N Address of business: St. Thomas, USVI, 00802 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/9/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1070266 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: La Quinta, California, 92253 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/9/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1070267 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: Lake Arrowhead, California, 92352 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/9/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I "951368", Name of OBA: Ruby Ridge LLC, Address: St. Thomas, USVI, Investment Related: N, Position, Title, Association["Officer"], Employee Start Date: 10/1/2022, No Hours: 1, Monthly, No Hours during trading: 0, Duties: "it is a management company for a rental property that my wife and I own.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-26 |
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