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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2023-05-31 |
| CA | RA | APPROVED | 1997-07-08 |
| TX | RA | APPROVED_RES | 1996-03-19 |
Branch Locations
90 South E St, Santa Rosa, CA 95404 • United States
Lebanon, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Rosa | CA | 02/1989 | Present |
| Bank Of America, N.A. | Santa Rosa | CA | 07/2011 | Present |
I*1253255 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Franklin, Tennessee, 37064 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 7/20/2019 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 1986-01-21 |
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