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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2014-03-27 |
| TX | RA | APPROVED | 2014-03-27 |
Branch Locations
2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • 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 | 03/2014 | Present |
| Bank Of America, N.A. | Los Angeles | CA | 04/2014 | Present |
Legacy-I*72175 I*479974 For profit or not for profit: Entity For Profit Name of outside business organization: Bel Air Bay Club Investment related: N Address of business: Pacific Palisades, California, 90272 Nature of business: ["Corporation"] Position, title, association: Committee","Board Member, Finance committee Start date of relationship: 12/17/2019 Number of hours devoted: 6 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , A social beach club I have been asked to serve as the head of the finance committee which is also a board seat I*423910 For profit or not for profit: Entity For Profit Name of outside business organization: McCain/Tharnstrom LLC Investment related: Y Address of business: Pacific Palisades, California, 90272 Nature of business: Limited Liability Company Position, title, association: General Partner/Managing Member Start date of relationship: 10/23/2018 Number of hours devoted: 15 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Limited Liability Investment Vehicle I*: 1798290 Entity Type: Name of OBA: Saint John's Health Center Foundation Address: Santa Monica, CA Investment Related: No Position, Title, Association: committee member Employee Start Date: 4/1/2024 Number of Hours: 9 hrs annually Number of Hours during trading: 9 hrs annually Duties: Augment the 1finances/capital needs of the hospital I*2066295, Entity Type Fiduciary, Name of OBA: C T TTEE U/A DTD 02/10/2015 Address: Pacific Palisades, California, 90272 Investment Related: Yes Position, Title, Association: Trustee Employee Start Date: 28-Oct-2024 No Hours: 1 Monthly No Hours during trading: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-13 |
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