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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-10-07 |
| HI | RA | APPROVED | 1999-11-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Hilo | HI | 08/1974 | Present |
| Bank Of America, N.A. | Hilo | HI | 04/2011 | Present |
I*115754 For profit or not for profit: Non-Profit Organization Name of outside business organization: Ku'ikahi Mediation Center Address of business: Hilo, Hawaii 96720 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 7/2/2018 Number of hours devoted: 12 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Non-profit organization board member, not having to do with organization's finances. 1642270 Name of outside business organization: Hawaii Community Foundation Address of business: Honolulu HI Position, title, association: Committee Member, Start date of relationship: 4/1/2024 Number of hours devoted: 1 hour Annually Number of hours devoted during trading hours: 0 Duties: Serve on advisory committee of East Hawaii Fund within Hawaii Community Foundation to assist with decisions on grant distributions to non-profit community organizations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 1986-06-07 |
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