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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-04-20 |
| CA | RA | APPROVED | 2006-03-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | La Jolla | CA | 02/2006 | Present |
I*116841For profit or not for profit: For-Profit OrganizationName of outside business organization: Ascena Retail Group Inc.Investment related: NAddress of business:Mahwah, New Jersey 7430Nature of business: Corporation,Position, title, association: Part-Time, Start date of relationship: 8/22/2018Number of hours devoted: 45 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: Ascena owns Ann Taylor and Loft, which are retail clothing stores.I will be applying for a part time position at both stores.I*1468270For profit or not for profit: Name of outside business organization: Target CorporationInvestment related: NAddress of business: , , , Nature of business: Position, title, association: , Start date of relationship: Number of hours devoted: hour(s) Number of hours devoted during trading hours: Duties: , Part-time employee as a cashier. I was previously employed part-time for the past 4 years but, I quit in April 2023. I now need the additional income and need to re-apply.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-23 |
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