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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-06-05 |
| CA | RA | APPROVED | 2009-10-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Phoenix | AZ | 10/2009 | Present |
| Bank Of America, Na | Phoenix | AZ | 11/2009 | Present |
I*2066374, Entity Type Fiduciary, Name of OBA: R E F S Trust Address: Phoenix, Arizona, 85018 Investment Related: Yes Position, Title, Association: Trustee Employee Start Date: 15/Apr/2024 No Hours: 1 monthly No Hours during trading: 0 Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 1990-02-01 |
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