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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-11-22 |
| TX | RA | APPROVED | 2019-11-21 |
Branch Locations
300B Drakes Landing Road Ste 155, Greenbrae, CA 94904 • United States
Tiburon, CA • United States
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 | Mill Valley | CA | 06/2007 | 11/2019 |
| Bank Of America,N.A. | Mill Valley | CA | 06/2011 | 11/2019 |
| Rbc Capital Markets, Llc. | Greenbrae | CA | 11/2019 | Present |
| City National Bank | Greenbrae | CA | 10/2023 | Present |
(1) NAME OF ENTITY: SAN FRANCISCO YACHT CLUB; ADDRESS: 98 BEACH ROAD BELVEDERE, CA 94920; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: SAILING CLUB NON-PROFIT; CAPACITY: OFFICER, BOARD OF DIRECTORS; START DATE: 11/2019; DUTIES: I AM A LONGTIME MEMBER AND VOLUNTEER, VICE COMMODORE; HOURS DEVOTED PER MONTH: MOST IS AFTER BUSINESS HOURS; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-04-18 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-06 |
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