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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-04-09 |
| CA | RA | APPROVED | 2018-02-14 |
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 | 08/2017 | Present |
| Home Point Financial | Newport Beach | CA | 02/2016 | 08/2017 |
| Bank Of America, N.A. | Newport Beach | CA | 03/2018 | Present |
I*109087 For profit or not for profit: For-Profit Organization Name of outside business organization: Applegate Family Partners Investment related: N Address of business: Costa Mesa, California 92626 Nature of business: Limited Partnership, Position, title, association: General Partner, Start date of relationship: 6/1/2003 Number of hours devoted: 3 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Rental Property - Estate Planning vehicle that owns two family properties rented back to parents. Rent collected only to cover property taxes, insurance, HOA, and general maintenance. General partner - managing and preparing documentation for taxes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-13 |
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