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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2002-03-01 |
| CA | RA | APPROVED | 2001-06-26 |
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 | La Jolla | CA | 05/2001 | Present |
| Bank Of America,N.A. | Rancho Santa Fe | CA | 06/2011 | Present |
I*2117288, Entity Type, Name of OBA: University of California, Berkeley, Extension Address: Berkeley,Ca, 94704-7000 Investment Related: Position, Title, Association:Online instructor / facilitator of financial planning related course. Employee Start Date: 06/01/2025 No Hours: 60 Y No Hours during trading:0 Duties:Application to teach online courses in Financial Planning through the UC Berkeley, Extension
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-22 |
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